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Full text of "Technology assessment and forecast : initial publication, May 1973"

A UNITED STATES 
DEPARTMENT OF 
COMMERCE 
PUBLICATION 



***" °'Co 




**I»Of* 



TECHNOLOGY 
ASSESSMENT AND 

FORECAST 



Initial Publication 

of the 

Office of Technology 

Assessment and Forecast 

April 1973 



its. 

DEPARTMENT 

OF 

COMMERCE 




L 



TECHNOLOGY ASSESSMENT 
AND FORECAST 



£ 



8- 

Q 



Initial Publication 

of the 

Office of Technology 
Assessment and Forecast 

MAY 1973 



U.S. DEPARTMENT OF COMMERCE 
Frederick B. Dent, Secretary 

Betsy Ancker-Johnson 

Assistant Secretary 

for Science and Technology 



CONTENTS 



INTRODUCTION 



THE TECHNOLOGY ASSESSMENT AND FORECAST PROGRAM 



THE SAMPLE REPORTS H 

Guide to Report Reading 11 

Types 11 

Informational Elements 11 

Sample Ranking Reports 13 

Ranking, Based on Average % Foreign, of Technological 

Areas Within the Aeronautics Class 15 

Ranking, Based on Average % Growth, of Technological 

Areas Within the Aeronautics Class 17 

Selected Country Profiles of Relative Activity Among the 

Technological Areas Within the Aeronautics Class 19 

Classes Containing a High Proportion of Government -Owned 

Patents 20 

Selected Technological Areas Within Classes Containing 

a High Proportion of Government -Owned Patents 21 



iii 



Sample Reports on Specific Areas of Technology 25 

Level I. 27 

Textile Weaving 29 

Metal Shaping Using Rollers 31 

Level II. 35 

Pipe and Cable Laying 37 

Electrophoresis 39 

Tunneling 41 

Electrolytic Coating 43 

Photoelectric Control Devices for Still 

Photography 45 

Level III. 47 

Fluidic Anti-Skid Brake Systems 49 

Discharge Devices for Optical Telegraphy 

Systems 51 

Inorganic Fluorescent Compositions 53 

Electrically Responsive Optical Polarization 

Systems 55 

Crimped Fibers 57 

Electronic Musical Instrument Control 59 

Polyamide Resins Derived from Lactams 61 

Drying with Perforated Conveyor Drums 63 

Light Sensitive Compositions Containing 

Silver Compounds 65 

Level IV. 67 

Tracked Air Cushion Vehicles 69 

Cartridge Changer Systems 76 



IV 



Open End Spinning of Yarn 82 

Solanaceous Alkaloids 88 

MHD Generation of Electricity 95 

Weaving with Stationary Supply of Weft 

Yarn 101 

Electronically Actuated Fuel Injectors 109 

Vehicles with Vertically Swinging Hoists 116 

READER EVALUATION 123 






INTRODUCTION 



This is the initial publication resulting from a recently instituted 
Commerce Department Technology Assessment and Forecast Program. This 
program, established under the Office of the Assistant Secretary for 
Science and Technology, constitutes a new information source for 
business and industry. 

The program's data base draws upon information contained in the U.S. 
Patent Office's file of over 11 million U.S. patent documents — one 
of the world's greatest treasures of technological information. Each 
year approximately 250,000 documents are added. As new technologies 
are developed, the entire file is scrutinized and new categories, 
called subclasses, are created to reflect these changes. 

It is a basic premise of the program that the changing patterns of 
patent activity within these subclasses, now numbering over 85,000, 
can be an accurate indicator of technological activity throughout 
the world and that it can be used to help appraise the comparative 
technological strengths and weaknesses of the United States and 
competitive trading nations. 

Accordingly, one of the objectives of the program is to identify those 
areas of technology in which a high proportion of the activity is of 
foreign origin. 

Another objective is to spotlight areas of technology exhibiting 
unusually rapid overall growth. 

This initial publication is designed to provide a sampling of the types 
of information and formats that can be provided in future reports. It 
contains analyses of 24 wide-ranging areas of technology, such as 
magnetohydrodynamic (MHD) generation of electricity, electronically 
actuated fuel injectors, inorganic fluorescent compositions, crimped 
fibers, and pipe and cable laying. 

Our ultimate goal is to make the program useful to all. Achieving this 
goal requires input from business and industry as well as from government 
users of technological information. We therefore invite your comments 
and have provided for reader evaluation on the last page. 



-3- 



THE TECHNOLOGY ASSESSMENT AND FORECAST PROGRAM 



The economic strength and national security of the United States rest 
on a technological foundation. Largely on the basis of their techno- 
logical skills, United States businesses have gained a predominant 
position in the world. 

In his message to the Congress on Science and Technology in March 1972, 
President Nixon said that: 

"...innovation is essential to improving our economic productivity... 
By fostering greater productivity, technological innovation can help 
us to expand our markets at home and abroad, strengthening old 
industries, creating new ones, and generally providing more jobs for 
the millions who will soon be entering the labor market. 

This work is particularly important at a time when other countries 
are rapidly moving upward on the scientific and technological ladder, 
challenging us both in intellectual and in economic terms. Our in- 
ternational positions in fields such as electronics, aircraft, steel, 
automobiles, and shipbuilding is not as strong as it once was. A 
better performance is essential to both the health of our domestic 
economy and our leadership position abroad." 

To meet these challenges it is important that technological resources be 
utilized in the most effective manner. Decisions regarding resource 
allocation thus become critical. To improve the quality of decisions, 
businessmen and administrators need to be as completely and accurately 
informed as possible. The availability of objective information con- 
cerning trends and comparative efforts in all technological areas would 
be a key factor in better decision making. 

Until now there has been no single source from which either business or 
government could obtain information covering the entire spectrum of 
technology. It is the purpose of a newly established Office of Tech- 
nology Assessment and Forecast to fill this need. 

The basic premise upon which the program is founded is that patent activity 
represents a highly significant measure of technological activity. That is, 
if the number of U.S. patents in a given area is growing rapidly, the assump- 
tion may be made that technological advance in that area is being actively 
pursued. 

There are several reasons supporting the premise. 

For a patent to be granted, the law requires that the 
invention be new. 

Any significant technological advance usually will be 
the subject of significant patent activity. 



-4- 



Generally, the costs of obtaining a patent are expended 
only in the expectation thay they will be recouped with 
a profit through the commercialization of the invention. 
Last year alone, approximately $28,000,000 in fees were 
collected by the Patent Office, and many millions more 
were paid by patent applicants for attorney fees and other 
costs associated with obtaining a patent. 

The same reasons apply with regard to inventions made by residents of 
foreign countries and patented in the United States. Moreover, since the 
cost of filing multiple applications to gain patent protection in a number 
of countries is quite expensive, it is normally undertaken only for the 
more significant inventions and primarily in those countries in which it 
is expected to be most profitable. Where applications for patents on 
foreign inventions are filed outside the home country, the United States 
is almost always one of the countries in which a patent is sought. Those 
areas of technology in which a high proportion of U.S. patents issue to 
foreign inventors thus take on even more significance. 



Residents of over one hundred foreign countries have sought and received 
U.S. patent protection. The growing impact of foreign technology is 
evident in the following graph. 



% OF U.S. 
PATENTS 
ISSUED TO 
FOREIGN 
RESIDENTS 



30% h 



20% 



10% 



61 62 63 64 65 



66 67 
YEAR 



66 69 70 71 



As shown, foreign origin U.S. patenting has increased from 17% in 1961 
to 29% in 1971. It is projected to rise to an average of 31% for the 
next five years. 



-5- 



Of particular interest is the changing pattern of patent activity of 
specific countries. The following graph depicts the pattern for 
Germany, Japan, the United Kingdom and France. 



% OF U.S. 
PATENTS 

ISSUED TO 
RESIDENTS OF 

COUNTRY 




GERMANY 



JAPAN 

UNITED 
KINGDOM 



FRANCE 



1963 1964 



1965 1966 1967 1968 1969 1970 1971 
YEAR 



What is seen in this graph would appear to support further the premise- 
that U.S. patent activity is a measure of technological activity throughout 



the world, 



-6- 



The patent activity data used in the program was compiled from a Patent 
Office file of over 11 million U.S. patent documents classified into 
300 broad divisions of technology, called classes, which are further 
subdivided into about 85,00 categories of technology, called subclasses. 
The latter form the most detailed units of the Patent Office classifica- 
tion system. 

Each year approximately 250,000 new U.S. patent documents are added to 
this file. As new technologies develop, the entire file is scrutinized 
and new subclasses are created by the Patent Office to better reflect 
the most current state of technology. 

The entire spectrum of technology is thus reflected in the program's data 
base — a base unique in that it brings together information concerning the 
placement of each patent among these 85,000 subclasses, as well as infor- 
mation regarding the country of residence of the inventor and ownership 
of the patent. 

The base has been designed for maximum flexibility. While patent data 
represents the sole source for this initial effort , it is recognized that 
a better picture of the technological-economic interface can be obtained 
by supplementing patent data with other pertinent materials. It is 
planned, therefore, to add to the base in the future various types of 
economic information, such as the distribution of R&D expenditures and 
export-import figures. It them should be possible to study more fully 
the interdependencies of patents, technology and the economy. 

Another aspect of this flexibility is the storing of data at its finest 
level of detail, i.e., the subclass, while at the same time allowing 
for the "roll up" of data into a variety of larger units. For example, 
this flexibility allowed the combining of subclasses, within the structure 
of the Patent Office classification system, to form roughly 8,500 "tech- 
nological groupings" of approximately equal size. This facilitated 
subsequent statistical analyses. 

Of course, information also can be provided for any combination of sub- 
classes and/or technological groupings. It is precisely this flexibility 
that will make it possible to respond to requests from users for reports 
covering areas of particular interest to them. A user versed in the 
Patent Office classification system may request a report about any sub- 
class or combination of subclasses which creates a technological unit 
meaningful to him. 

The primary purpose of this publication is to introduce some of the infor- 
mational services of the technology assessment and forecast program. The 
reports included are but samples of the various types that can be produced 



-7- 



and are designed to illustrate some of the program's capabilities. They 
are not intended to predict particular developments in a given field. 
Rather, the aim of the reports is to call attention to areas of technology 
that, because they are areas of high activity or concentrated foreign 
interest, may warrant further study by industry and government. 

The sample reports can be broadly categorized as rankings of areas and 
reports on specific areas. 

Rankings, of areas within any selected portion or the entire spectrum 
of technology, can be based on any of a number of factors, such as: 

overall growth, i.e., the rate at which 
patents are being added to an area; 

foreign share, i.e., the percentage of 
patents in an area that is being obtained by 
residents of foreign countries; 

extent of government ownership, i.e., the 
percentage of patents assigned to the U.S. 
government at the time of issuance. 

Rankings can also take the form of country profiles. These depict the 
relative effort that a country is devoting to different areas. The 
relative effort can show how that country relates to others based upon 
a chosen factor, or can relate several factors for the same country. 

Reports on specific areas treat a single technological area in various 
levels of detail. Some include comparisons with a few closely related 
areas while others delve into the technology in detail. 

The following schematic shows three different paths that can be followed 
in selecting areas of technology for analysis. 



-8- 



SPECTRUM 
OF TECHNOLOGY 



PATH 



PATH C 



BROAD 
FIELD 


1 


Z 

f 


eANKED 
BROAD 
FIELD 




} 


^ 






AREA 






Path A includes step 1, representing an initial decision to consider 
only a given portion of the spectrum of technology. Step 2 represents 
a ranking, based on any one of a number of factors, of either the 
entire spectrum (path B) or a selected portion of the spectrum (path A) . 
Step 3 represents a selection of a specific area based upon the rankings 
(paths A and B) or, in the case of path C, an ad hoc choice from the 
entire spectrum. This specific area may include many subclasses or may 
be as small as a single subclass. 

Path B is basically the one that was followed in selecting the areas 
for the sample reports included in this publication. It is envisioned 
that the other two paths generally would be followed in the preparation 
of user-requested reports. 



-B- 



The areas of technology covered in the sample reports were selected on 
the basis of their position in a combination of ranked listings of tech- 
nological groupings covering the entire spectrum. For example, in one 
of the sample reports (p. 82) a technological grouping concerned with 
"Apparatus for Spinning Yarn" was selected (as shown below) on the basis 
of high rankings as to three separate measures of technological activity, 
Foreign nationals have received an average of 72% of all U.S. patents 
issuing in that grouping over the last three years. This is almost 
three times the 2 7% average share of patents foreign nationals have 
received over the last three years in all technologies combined. The 
foreign share in this area is projected to grow to over 90% in the next 
few years. In addition, "Apparatus for Spinning Yarn" is an area that 
has been experiencing relatively high overall growth in recent years , 
with patents increasing at the average rate of 4 1/2% a year as compared 
to the average rate for all technologies of 2%. 



5PECTRUM OF TECHNOLOGY 



L. 1 1 1 1 1 11 11 . 



_/ 




SELECTION 
GROUPING 



OF 



APPARATUS FOR 
SPINNING VARNJ 



FOREIGN SHARE 72% (AVG-27%) 
PROJ. FOR. SHARE 90+% CAVG.31%) 
OVERALL GROWTH 4-1/2% (AVG-Zy.) 



-10- 



Having selected the technological grouping, the same procedure was 
applied to its component subclasses in an attempt to pinpoint an 
area of even greater concentration of activity. When this was done 
the more specific area of "Open End Spinning of Yarn" was identified. 
In this area the foreign share is somewhat higher than that for 
"Apparatus for Spinning Yarn" and the rate of overall growth is 
considerably higher. 



APPARATUS FOR 
5PINNING YARN 



SH 



OPEN END 

SPINNING 

OF YARN 



SELECTION OF 
SUBCLASS OR 
SUBCLASSES 



FOREIGN SHARE 
PROJ FOR. SHARE 
OVERALL GROWTH 



- 81% 
= 857. 



The above procedure was basically followed in selecting all of the 
areas covered in the sample reports. However, because of the prototype 
nature of this publication, an attempt was made to avoid concentration 
of reports in any particular technology. Accordingly, those areas 
covered in the sample reports are not necessarily the highest ranked 
areas found, although, in every case, each was chosen from among the 
top ten percent of areas for any factor ranked. 






-11- 

THE SAMPLE REPORTS 

Guide to Report Reading 

A glance at the sample reports will show that there are various types 
of reports and that numerous elements of information are included for 
each area reported upon. The reports will be more understandable if the 
following explanations of each type of report and each informational 
component are read. 

Types 

Sample Ranking Reports . For the purpose of illustrating the potential 
usefulness of the data base, reports are included in which broad areas of 
technology are ranked by certain chosen factors, such as the percentage 
of U.S. patents obtained by foreign nationals, or the extent of government 
ownership of patents. 

Sample Reports on Specific Areas of Technology. The reports on specific 
areas show four levels of technological scope at which information can 
be reported, as well as the types of information which can be included. 

At the broadest level of technological scope (Level I) , reports deal 
with combinations of related technological groupings, and compare the 
extent of foreign activity in each. 

At the next level (Level II) , reports treat single technological group- 
ings. These groupings, which exhibit either a high foreign activity or 
a high rate of growth, are compared with the broad field of technology 
of which they are a part. 

Becoming even more specific in their focus, reports at the next level 
(Level III) deal with specific areas of interest within a technological 
grouping, usually a single subclass. More detailed statistics are 
presented as to either the extent of foreign activity or overall growth. 

At the most specific level (Level IV) , reports include a detailed analysis 
of the thrust of technological activity within the area of interest. The 
technical analysis appearing in each of these reports, and particularly 
the portion dealing with the thrust of technology, was prepared by that 
patent examiner, among the 1200 in the Patent Office's Examining Corps, 
who is most knowledgeable in the area. His analysis included a review 
of each patent involved. 

Informational Elements 

"Average percentage growth" refers to the average annual percentage 
increase in patents issued in the area during the period from 1969 
to 1971. It is considered to be a measure of recent inventive interest 
in the area. 



-12- 



"Projected average percentage growth" refers to the annual percentage 
growth statistically expected over the next five years. It is deter- 
mined by computer extrapolation of the annual percentage increase of 
patents in the area for the period from 1963-1971. Eight different 
curves are fitted to the nine yearly growth points and the curve with 
the best fit is then used in making the projection. 

"Average percentage foreign" refers to the share of the U.S. patents 
in a given area that is being obtained by residents of foreign countries. 
It is expressed as a percentage and the average for the period 1969-1971 
is reported. This calculation is also used to determine individual 
country shares in given areas. When these figures are compared to the 
averages for all technologies, they provide a good indication of those 
areas in which foreign nationals and specific countries are concentrating 
their efforts. 

"Projected average percentage foreign" refers to the share of patents 
in a given area that is statistically expected to be obtained by 
residents of foreign countries over the next five years. It is cal- 
culated in a manner similar to that used to determine projected 
average percentage growth. 

"Percentage U.S. owned of foreign" refers to the proportion of foreign 
origin patents in each area that are assigned to U.S. corporations. 
(This does not include assignments to foreign incorporated subsidiaries 
of U.S. corporations.) The percentage is determined from the nationality 
of the assignee of those patents for which the inventor is a foreign 
resident and is an indicator of the extent to which foreign origin develop- 
ments in a given area are initially available to U.S. enterprises. 

"Average percentage assigned" represents the proportion of patents in 
a given area for which ownership rights have been transferred by the 
inventor prior to the time the patent issues. It is expressed as the 
average percentage for the period 1969-1971. The figures serve as an 
indicator of corporate versus individual patenting efforts in a given 
area. 



-13- 



Sample Ranking Reports 



-15- 



RANKING, BASED ON AVERAGE % FOREIGN. 
OF TECHNOLOGICAL AREAS WITHIN THE AERONAUTICS CLASS 



Average Average 
Rank % Foreign % Growth Technological Area 



1 52% 2.5% Arrangement of aircraft engines and 

other power generating equipment 

2 52% .9% Wheeled landing gear and devices for 

resiliently mounting them to the 
aircraft 

3 50% .7% Various types cf landing gear and 

systems for retraction of landing 
gear 

4 40% 3.2% Miscellaneous aircraft including 

V/STOL 

5 37% 2.5% Details of aircraft construction 

including drag reducing devices . 

6 34% 1.5% Airfoils, generally 

7 34% 1.4% Arrangement of airfoils on aircraft 

body 

8 32% 2.6% Airfoil mounted devices for variably 

modifying lift (e.g., flaps) 

9 29% 3.5% Missile Stabilization or 

Trajectory Control 

10 27% 2.0% Speed retarding devices including 

wheel brakes, thrust reversers and 
arresting gear 

11 27% 1.9% Miscellaneous aircraft including 

fluid sustained aircraft 

12 27% .8% Miscellaneous airfoil sustained 

aircraft 

13 26% 3.6% Helicopters 

14 26% 2.2% Miscellaneous aeronautics (e.g., 

kites; landing field arrangements) 



-16- 



Avefage Average 
Rank % Foreign % Growth Technological Area 



15 21% 2.3% Electric autopilots, generally 

16 20% 1.2% Non-electric autopilots (e.g., 

hydraulic, gyroscopic or vane 
operated) 

17 20% .9% Miscellaneous aircraft control 

systems 

18 20% .6% Rudder and empennage structure 

19 19% 3.2% Autopilot operation during takeoff 

and landing 

20 19% 1.1% Pilot operated aircraft control 

systems 

21 18% 2.8% Miscellaneous aircraft structure 

including fueling systems and 
special passenger and cargo systems 

22 18% 1.8% Lighter-than-air aircraft 

23 17% 2.4% Fuselage and body construction 

including seats and devices for 
ejecting them from the aircraft 

24 17% 2.4% Parachutes 

25 16% 1.1% Airfoil construction and devices 

for prevention of icing of airfoils 

26 13% 2.3% Rescue systems for safely bringing 

the aircraft, or portions of it, 
to the ground 

27 13% .8% Specialized aircraft propulsion 

systems 

28 12% 8.5% Spacecraft 



-17- 



RANKING, BASED ON AVERAGE % GROWTH , 
OF TECHNOLOGICAL AREAS WITHIN THE AERONAUTICS CLASS 



Average Average 
Rank % Growth % Foreign Technological Area 



1 8.5% 12% Spacecraft 

2 3.6% 26% Helicopters 

3 3.5% 29% Missile Stabilization or 

Trajectory Control 

4 3.2% 40% Miscellaneous aircraft including 

V/STOL 

5 3.2% 19% Autopilot operation during takeoff 

and landing 

6 2.8% 18% Miscellaneous aircraft structure 

including fueling systems and special 
passenger and cargo systems 

7 2.6% 32% Airfoil mounted devices for variably 

modifying lift (e.g., flaps) 

8 2.5% 52% Arrangement of aircraft engines and 

other power generating equipment 

9 2.5% 37% Details of aircraft construction 

including drag reducing devices 

10 2.4% 17% Parachutes 

11 2.4% 17% Fuselage and body construction 

including seats and devices for 
ejecting them from the aircraft 

12 2.3% 21% Electric autopilots, generally 

13 2.3% 13% Rescue systems for safely bringing 

the aircraft, or portions of it, to 



14 2.2% 26% 

15 2.0% 27% 



the ground 

Miscellaneous aeronautics (e.g., 
kites; landing field arrangements) 

Speed retarding devices including 
wheel brakes, thrust reversers and 
arresting gear 



17 


1.8% 


18 


1.5% 


19 


1.4% 



-18- 



Average Average 
Rank % Growth % Foreign Technological Area 



16 1.9% 27% Miscellaneous aircraft including 

fluid sustained aircraft 

18% Lighter-than-air aircraft 

34% Airfoils, generally 

34% Arrangement of airfoils on aircraft 
body 

20 1.2% 20% Non-electric autopilots (e.g., 

hydraulic, gyroscopic or vane 
operated 

21 1.1% 19% Pilot operated aircraft control 

systems 

22 1.1% 16% Airfoil construction and devices 

for prevention of icing of airfoils 

23 .9% 52% Wheeled landing gear and devices 

for resiliently mounting them to 
the aircraft 

24 .9% 20% Miscellaneous aircraft control 

systems 

25 .8% 27% Miscellaneous airfoil sustained 

aircraft 

26 .8% 13% Specialized aircraft propulsion 

systems 

27 .7% 50% Various types of landing gear and 

systems for retraction of landing 
gear 

28 .6% 20% Rudder and empennage structure 



Rank* 

1 
2 
3 
4 
5 
6 
7 

8 
9 

10 
11 
12 
13 
14 
15 
16 

17 
18 

19 

20 

21 

22 

23 

24 
25 

26 

27 

28 



SELECTED COUNTRY PROFILES OF RELATIVE 
AMONG THE TECHNOLOGICAL AREAS WITHIN THE AERONAUTICS CLASS 

Country and Number of Patents** 



-19- 



Total No. of 
Patents 



Germany 



112 
24 
37 

122 

71 

43 
52 

119 
149 

62 
64 
21 
123 
138 
62 
51 
25 
20 

92 
47 
153 
44 
76 

106 
46 

58 

39 

225 



l 



27 



15 



11 



11 







J 



France 



7 
7 



8 



18 



*Rank number is from the "Ranking Based on Average % Foreign" report. 
Titles of technological areas appear on pages 15 and 16. 
**"Number of Patents" represents those issued during 1969-1971. 



United Kingdom 



22 



L5 



12 



10 



] 



r 



10 



-20- 



CLASSES CONTAINING A HIGH PROPORTION 
OF GOVERNMENT-OWNED PATENTS 



% Government - 

Owned Patents Glass 



30% Ammunition & Explosive Devices 

22% Nuclear Reactions and Systems 

17% Explosive and Thermic Compositions 

or Charges 

17% Radio Wave Communications 

14% Miscellaneous Electron Tube 

Systems 

11% Aeronautics 

9% Radiant Energy 

9% Miscellaneous Measuring and 

Testing 

9% Amplifiers 

8% Oscillators 

8% Textiles and Fibers: Bleaching 

and Dyeing, Fluid Treatment and 
Chemical Modification 

8% Optical Measuring and Testing 



-21- 

SELECTED TECHNOLOGICAL AREAS WITHIN CLASSES CONTAINING 
A HIGH PROPORTION OF GOVERNMENT-OWNED PATENTS 



Government -Owned Activity of Area 

Patents (1963-1971) (Average % Growth) Technological Area 
% No^ 

2 1/2% 13,700 2% ALL TECHNOLOGIES COMBINED 



14% 221 — CLASS: MISCELLANEOUS ELECTRON 

TUBE SYSTEMS 

31% 20 3% Devices with circuits having 

electron or other charged 
particle beam tubes 

23% 27 9% Electron tube systems for detecting 

or selecting particular character- 
istics of an input pulse wave form 

17% 26 9% Electron tube systems with time 

interval determining means or 
where the output is a selected 
function of the input 

16% 25 6% Electron tube pulse generating 

systems 

16% 22 6% Selected electron tube systems for 

converting an input pulse wave form 
to an output pulse wave form of 
different characteristics 

16% 11 4% Control systems with electron tube 

gating means 

14% 10 10% Electron tube systems with output 

as a nonlinear function of input 
or with voltage signal amplitude 
comparison means 

13% 16 13% Electron tube systems having means 

for distortion measuring and/or 
correction or means for unwanted 
wave component elimination 



-22- 



Government -Owned Activity of Area 
Patents (1963-1971) (Average % Growth) Technological Area 

8% 152 — CLASS: TEXTILES AND FIBERS: 

BLEACHING AND DYEING, FLUID 
TREATMENT AND CHEMICAL MODIFI- 
CATION 

47% 31 6% Chemical modification of cellu- 

lose textiles and fibers so as 
to form chemical derivatives 
thereof such as ethers, esters, 
etc. , without entirely destroying 
the structure of the fibers 

33% 37 6% Chemical modification of protein- 

aceous fibers such as wool, silk 
and hair 

27% 40 8% Chemical modification of cel- 

lulose textiles and fibers by 
treatment with nitrogen contain- 
ing organic compounds 

17% 16 3% Miscellaneous chemical processes 

for modifying cellulose textiles 
and fibers 

9% 14 7% Miscellaneous processes of chem- 

ically modifying textiles and 
fibers 



-23- 



Govemment- Owned 
Patents (1963-1971) 



Activity of Area 
(Average % Growth) Technological Area 



17% 


667 


38% 


29 


34% 


27 



28% 



26% 



25% 



23% 



22% 



21% 



21% 



10 



32 



15 



22 



21 



21% 49 
21% 30 



29 



21 



21% 19 

20% 34 

17% 21 

17% 17 

17% 14 



16% 



47 



3% 
6% 
7% 

2% 

2% 

6% 

5% 

3% 
3% 

3% 

1% 

5% 
5% 
5% 
3% 
4% 

4% 



CLASS: RADIO WAVE COMMUNICATIONS 

Radar testing and calibrating 

Aircraft antennas 

Plural antennas with coupling net- 
work or impedance in the lead-in 

Selected direction finding 
receivers 

Pulse type distance determining 
radar 

Radar systems for distinguishing 
moving objects 

Antenna with spaced or external 
wave refractor 

Miscellaneous radar systems 

Countermeasures and absorbers to 
make radar systems ineffective or 
inaccurate 

Miscellaneous distance determining 
radar 

Distance and direction determining 
radar 

Slot type antenna 

Pulse type radar systems 

Wave guide antennas 

Direction determining radar 

Radar combined with diverse type 
radiant energy systems 

Radar utilizing the returned signal 
for control purposes 



-24- 



Government -Owned 
Patents (1963-1971) 



Activity of Area 
(Average % Growth) 



Technological Area 



16% 



34 



3% 



Selected devices for sending 
and/or receiving radio wave 
energy characterized by some 
quality that varies according 
to the relative direction, 
position and/or plane of 
polarization of the sender and 
receiver 



16% 

15% 
15% 



10 

24 
17 



3% 

5% 
2% 



14% 



23 



5% 



Means for moving directive antenna 
for scanning, sweeping or orient- 
ing 

Velocity determining radar 

Devices for sending and/or 
receiving non-directive signals 
which are used for determining 
bearing or position 

Interrogator — responder radar 
systems 



Note 

Technological areas in the selected classes were included if at least 
5% of the patents issued in the area during 1963-1971 were government- 
owned and if these constituted at least 10 patents. 



-25- 



Sample Reports on Specific Areas of Technology 



-27- 



Level I 



-29- 



TEXTILE WEAVING 

In the field of textile weaving three broad areas, each having a high 
proportion of foreign activity, were created by combining several 
technological groupings. 

In the bar graph, foreign activity in each of the closely related areas 
of warp manipulation, weft manipulation and fabric manipulation, all 
defined below, is compared with that of the others, as well as with 
that of the average of all technologies. Weft manipulation is dealt 
with in greater detail in the report entitled "Weaving with a Stationary 
Supply of Weft Yarn". 

Warp Manipulation involves the handling of the parallel warp threads as 
they move relative to one another to capture the weft thread after it has 
been lain across the warp. 

Weft Manipulation involves apparatus which lays a thread, known as a weft 
across a series of substantially parallel threads, known as warp. During 
this process the warp threads, though parallel, are disposed angularly to 
one another so that the weft thread passes across opposite sides of the 
different warp threads. 

Fabric Manipulation involves apparatus on the loom for removing or other- 
wise operating on (e.g., trimming) the completed cloth made up of the 
interlaced warp and weft threads. 



70 
fcO 

50 
40 
30 
20 

10 



L 



75% 



£7% 



65% 



27% 




WARP MANIP- 
ULATION 



WEFT MANlP- 
ULATIOM 



FABRIC 
MANIPU- 
LATION 



ALL TECHNOLOGY 



-30- 

As can be seen, the U.S. share of each of these areas is far below 
the average for all technologies. In the charts below, Switzerland 
emerges as the single most active foreign country. 



CH = Switzerland 

DT = Germany 

FR = France 

UK = United Kingdom 

XK = Other 

US = United States 



33% 




16% 



16% 
Warp Manipulation 



35% 




25% 
Weft Manipulation 




73% 




11% 



Fabric Manipulation 



All Technologies 



-31- 



METAL SHAPING USING ROLLERS 



In the field of metal shaping one broad area was created by combining 
several technological groupings , all relating to the shaping of 
metal by use of roller-like tools. This broad area was found to be 
interesting because of its high foreign activity level. 

In the bar graph the foreign activity of this area is compared with 
that of three other closely related broad areas within the same field 
(also created by combining technological groupings) , all defined below, 
and with that of the average for all technologies. 

Metal shaping using rollers involves imparting a desired shape change 
to metal by the use of a roller or roller-like tool element. This 
technology is the principal locus for metal shaping methods and 
apparatus which utilize a single roller, roller pairs and roller 
clusters. 

Metal shaping using fluid pressure or high energy involves Imparting 
a desired shape change to metal by the application of either a 
pressurized fluent material, or electric, magnetic or radiant energy. 
This technology includes patents to all aspects of the use of these 
work deforming media; for example, the application of electromagnetic 
energy of such high intensity as to induce work bending or buckling, 
the pressurization of a fluid inside a workpiece to cause expansion 
into and deformation by a surrounding die, and even the use of explo- 
sives to achieve desired metal deformation. 

"Step-by-Step" Metal shaping involves imparting a desired shape change 
to metal by successive (i.e. , "step-by-step") action of tools upon the 
work as the work moves relative to the tools. This technology includes 
patents for forming helical and spiral coils, for metal straightening, 
corrugating and trough forming and for ancillary control and product 
handling. 

"Die Expressing" is a metal shaping technique which involves imparting 
a desired shape change to metal by extruding it through a shaped orifice, 



-32- 



10 
GO 

50 

4o 

30 
20 

10 



59% 




46% 




U«5iN<S USING FLIUP tt 5TEP-6Y OIE-EXPRCS- ALL ISCMtiOLOQi 

ROLLERS PRESSURE OR STEP w MBTMOD SMI|G METHOD 

HIGH ENERGY 



As can be seen from the charts on the next page, the U.S. share of each of 
these areas is significantly less than the average for all technologies. 
Germany and the United Kingdom emerge as the most active foreign countries, 
more active than on the average. This pattern is broken only in the area 
of "step-by-step" metal shaping, where Germany clearly predominates 
among our foreign competitors. 



-33- 



15% 



DT = 


Germany 


UK = 


United Kingdom 


JA = 


Japan 


FR = 


France 


SW = 


Sweden 


XX = 


Other 


US = 


United States 



62% 




Using Fluid Pressure or 
High Energy 



"Step-by-Step" Method 



13% 



54% 




73% 




SW 1% 



Die-F.xpressing Method 



All Technologies 



-35- 



Level II 



-37- 



PIPE AND CABLE LAYING 



An interesting technological grouping within the broad field of hydraulic 
and earth engineering is that dealing with pipe and cable laying. In this 
grouping are to be found patents for placing a line or string of relatively 
slender material, such as an electrical cable or a fluid carrying pipe, 
beneath the surface of the earth or a body of water. 

While all technology is growing at the rate of 2%, hydraulic and earth 
engineering is growing at the high rate of over 5%, and pipe and cable 
laying is growing at the even higher rate of almost 11%. The bar chart 
below shows these relationships for the three areas. 



157. r 



10% 



57.- 



07. 




AV<5.% GROWTH 



AV6.% FOREIGN 



AVG. % 

ASSIGNEE? 
] =THIS GROUPING 
= &*0AD FIELD 
= ALL TECHNOLOGY 



-38- 



Extent of Activity 



120 r 



100 - 



NUMBER OF 
PATENTS 




1967 



1968 



1969 



1970 



1971 



YEAR 



-39- 



ELECTROPHORESIS 



This technological grouping, part of the broad field of electro-chemistry, 
concerns electrolytic dialysis, including coating conductive substrates 
with resinous films. The grouping includes methods for purifying a liquid, 
increasing the concentration of certain solutes in a water solution and of 
photoelectrophoretic imaging. Selection of this grouping was based on its 
average overall growth rate being over 15%, almost triple that of the broad 
field. The bar chart below shows these relationships. 



15* r 



107. - 



15.27. 



57. 



07. 



90% 
80% 

607.1 



407. - 



28% 28X ofi 



AVG.% GROWTH 



AVfi.% FOREIGN 



90% r ?9% 

80% - 

60%- 



401 - 




AV6. % 
ASSIGNED 

] = THIS 6R0UPING 

= 6R0AD F1PLD 

s ALL TECHNOLOGY 



-40- 



Extent of Activity 



NUMBER OF 
PATENTS 



200r 



180 



160 



140 



120- 



100 




1963 1964 1965 1966 1967 1968 1969 1970 1971 



YEAR 



-41- 



TUNNELING 



An interesting technological grouping within the broad field of hydraulic 
and earth engineering is that dealing with tunneling methods and means . 
In this grouping are to be found, for example, patents for preformed tunnel 
structures, subway building, shoring, as well as flexible or inflatable 
tunnel linings. The foreign share of this grouping is 69%, more than 
twice the 31% foreign share for the broad field. Moreover, the overall 
growth rate is more than twice the average for all technologies. 

The following bar graph illustrates these comparisons. 




AVG,% FOREIGN 



M& % GROWTH 



% U.S. OWNED 
Of FOj2£lGN 



] -THIS GROMPIMG 

-6R0AP FIELD 
-ALL TECHNOLOGY 



-42- 



The U.S. clearly predominates in the broad field of hydraulic and earth 
engineering with 69% of the patents. The inventors of no single foreign 
country hold more than 7% of the patents in the field. However, in the 
technological grouping dealing with tunneling, the figures are quite 
different. Here the U.S. share drops by more than half to 31%, while 
Germany, with 37%, emerges as the most active country. 

The chart below shows these relationships for the broad field, the 
technological grouping, and for all technologies. 



31% 




37% 



5% 13% 

Tunneling 



DT = Germany 

JA = Japan 

UK = United Kingdom 

FR = France 

XX = Other 

US = United States 



69% 




Hydraulic and Earth 
Engineering 



12% 



73% 




All Technologies 



-43- 



ELECTROLYTIC COATING 



Tills technological grouping* drawn from the broad field of electrochemistry, 
concerns the electrolytic production, in an aqueous bath, of coatings which 
do not contain free metal as one of the constituents. Specifically included 
are methods for forming a layer of a salt (e.g., phosphate, chromate, etc.) 
or an oxide of the base metal on the base metal to provide, for example, 
corrosion resistance. Also included is the anodizing of aluminum to provide 
a particular color or texture. 

The grouping was selected because foreign nationals have been receiving about 
42% of the patents, while the corresponding proportion for the broad field of 
electrochemistry is only 29%. The following bar graph includes the foregoing 
statistics. 




AV*-£FOKEl6A) 



Al/6-% 6B0WTH 



OF FoP6(<S»n/ 



D- 



THIS CZOuPltib 



*B£oad field 

ALL TeCMNULOGV 



-44- 



The three circle graphs below compare foreign activity in the broad field 
of electrochemistry with that in the grouping concerning electrolytic coat- 
ing and in all technologies combined. 

As can be seen there is little difference between the extent of foreign 
activity in the broad field and that in all technologies. However, when 
focus is directed to the area of electrolytic coating, it can be seen that 
the proportion of foreign activity almost doubles to 42%. In fact, Japan 
and the United Kingdom then double their share of activity over that in 
the broad field. 



58% 




Electrolytic Coating 



71% 




Germany 

Japan 

United Kingdom 

France 

Other 

United States 



73% 




12% 



Electrochemistry 



All Technologies 



^45- 



PHOTOELECTRIC CONTROL DEVICES 
FOR STILL PHOTOGRAPHY 



It was anticipated that a high level of foreign patent activity would 
be found in the broad field of still photography. This proved to be the 
case, with foreign nationals receiving 50% of the patents in this field 
as compared to a foreign share average of 27% for all technologies. 

However, it was found that in one technological grouping within this 
field — that dealing with photoelectric controls, such as shutter and 
exposure timing devices, particularly adapted for use with still cameras — 
the foreign share is 74%. Foreign nationals, thus, are obtaining nearly 
three quarters of all the patents in this area. The technology relating 
to photoelectric control devices use in still photography equipment is 
growing more than four times as fast as the overall average growth for all 
technologies. 

The following bar graph compares the foreign share and overall growth rates 
of this area with those of the broad field of still photography, as well as 
with those of the average for all technologies. 




AVG.% FOREIGN 



AVG% GROWTH 



% U.S. OWNED 
OF FOREIGN 



~|=THIS GROUPING 

- BROAD FIELD 
= ALL TECHNOLOGY 



-46- 



Looking at the broad field of still photography, to find which foreign 
countries are the most active, one discovers (as would be expected) that 
Germany and Japan lead with, respectively, 26% and 16% of the patents, 
as opposed to 50% for the U.S. On the other hand in the technological 
grouping dealing with photoelectric control devices , we find these two 
countries with a much larger share of the patents — Germany with 40%, 
Japan with 32% and the U.S. with only 26%. The following chart illustrates 
this divergent pattern of activity for the broad field of still photography, 
for the technological grouping of photoelectric control devices , and for 
the average of all technologies. 







40% 



Photoelectric Control 
Devices 



DT 


= 


Germany 


JA 


= 


Japan 




UK 


= 


United 


Kingdom 


FR 


= 


France 




XX 


= 


Other 




US 


= 


United 


States 



26% 



50% 




73% 




16% 



Still Photography 



All Technologies 



-47- 



Level III 



-49- 



FLUIDIC ANTI-SKID BRAKE SYSTEMS 



Technological Context 

The technological grouping dealing with speed control for brake systems 
was selected because of the accelerating rate at which patents in the 
field are being granted. The overall growth rate of this technology is 
projected to rise, in the next few years from 12 1/2% to over 20%. :This 
far exceeds the average growth for all technologies. The following profile 
of this technological grouping compares it with the average for all 
technologies. 



Vfcr 



15% ~ 



101 



57. 



02 



204-% 



12.5% 



2.0% 



w 



90% 



Ave. % 

GROWTH 




PfcOJ.7o 
GtfOWTM 



AV6. 7o 
FOfcElGM 



AVG,7o 
ASSIGMEP 



]=TUIS GROUPING 
= ALL TECI4MOLOGV 



-50- 



Area of Interest 

Within this grouping activity is concentrated in hydraulic speed control, 
Found here are patents disclosing anti-skid systems utilizing fluidic 
control devices to selectively release and apply the brakes to relieve 
a skidding condition. 



Extent of Activity 



40-j 



NUMBER OF 
PATENTS 




1964 



1968 



1969 



1970 



1971 



YEAR 



-51- 



DIS CHARGE DEVICES FOR 
OPTICAL TELEGRAPHY SYSTEMS 



Technological Context 

The technological grouping dealing with optical telegraphy systems 
with discharge devices having a movable scanning ray was selected 
because of the accelerating rate at which patents in the field are being 
granted. The overall rate growth of this technology is projected to rise, 
in the next few years, from almost 11% to over 19%. This far exceeds the 
average growth for all technologies. The following profile of this 
technological grouping compares it with the average for all technologies. 



20% 



67.. 



107c 



5% 



o7oL 



19.2 7. 



10.9% 



W. 



2.3V. 



AVG. % 
GROWTH 




PROJ. % 
GROWTH 




AVG. % 
FOREIGN 



AVG. % 
ASSIGNED 



f ]« THIS GROUPING 
= ALL TECMNOLOGV 



-52- 



Area of Interest 

This technological grouping constitutes an area of interest which includes 
systems for transmitting video information back and forth between remote 
stations. Also included are TV surveillance systems and other closed 
circuit TV applications. 






Extent of Activity 



NUMBER OF 
PATENTS 



1204- 



100-- 



80-- 



60- 




40-. 



20- - 



1963 



1964 



1965 



1966 



1967 



1968 



1969 



1970 



1971 



YEAR 



-53- 



INORGANIC FLUORESCENT COMPOSITIONS 



Technological Context 

The technological grouping embracing fluorescent or phosphorescent 
compositions of inorganic materials (excluding zinc and cadmium) was 
found to be of interest because its present rate of growth of over 12% 
is projected to increase to almost 15% within a few years. This growth 
rate is five times that of the overall growth rate for all technologies. 
These statistics are displayed by the following profile. 



201 



157. 



10% 



57. 



07.1 



14.67. 



12.17. 



2-07. 



1 



237. 




AVG. % PROD. 7. 

GROWTH GROWTH 



AVG. •/. 
FOREIGN 



AVG. "/. 
ASSISNEP 



Is THIS GROUPING 
■ ALL TECHNOLOGY 



-54- 



Area of Interest 



The area of interest concerns compositions of inorganic substances, 
excluding tungsten, zinc and cadmium, containing a material that will 
emit white or chromatic light (or analogous rays) as the result of 
irradiation from some other source. Included are phosphors, such as 
manganese activated lithium gallate. Compositions in this area are 
used in photocopying, lasers, and especially cathodeluminescent tubes, 
e.g. , color T.V. 



Extent of Activity 



12&+ 



100 



80 



NUMBER OF 
PATENTS 60 



40- 



20- 




1963 



1964 



1965 



1966 



1967 



1968 



1969 



1970 



1971 



YEAR 



-55- 



ELECTRICALLY RESPONSIVE OPTICAL 
POLARIZATION SYSTEMS 



Technological Context 

The technological grouping dealing with optical polarization systems was 
selected because of the very high rate at which patents in the field are 
being issued. The overall growth rate of this technology is almost 22%, 
and is projected to rise in the next few years to over 25%. This far 
exceeds the average growth for all technologies . The following profile of 
this technological grouping compares it with the average for all technologies 



2S+"h 







21.77. 


w 


20°/. 










157. 










10% 










5% 










07 






£07. 

■ 





2Vl m 



95% 




AVG. 7o 

GKOWTW 



PRO J. % 
GfcOWTW 



AVG. % 



AVG. % 
ASSIGNED 



1-TUIS GROUPING 
'ALL TECMHOLOGY 



-§6r 



Area of Interest 

Within this area, activity was found to be concentrated in non-magneto- 
optical electrically responsive polarization materials. 

Different electrically responsive materials used to polarize light are 
found here. The materials either block or allow light to pass through 
and can be used, for example, in the shutter mechanism of cameras, or 
in a digital light deflector. 



Extent of Activity 



120+ 



100 



NUMBER OF 
PATENTS 




1963 1964 1965 1966 1967 



1968 1969 1970 1971 



YEAR 



-57- 



CRIMPED FIBERS 



Technological Context 

The technological grouping concerned with the structure (other than cross- 
sectional shape) of rods, strands or fibers, includes filaments of specific 
dimensions (e.g., denier). It also includes filaments that have been 
coated to improve their appearance (e.g., luster) or to produce a desirable 
property (e.g., higher safe ironing temperature, soil release, anti-static, 
better dyeability) , as well as coated glass fibers and tire cord embedded 
in rubber. 

This grouping was selected as being of interest because the present 40% 
share of patents being obtained by foreigners is projected to rise to 
over 80% within a few years. The statistical profile of this grouping, 
as compared with all technologies, is shown below. 




2<tt 



157. 



AVG. % 
FOREIGN 




peoJECTED 

AVG. % 
FOREIGN 



% U.S. 
OWNED OF 
FOREIGN 



AV6.% 
TOTAL 
GROWTH 



j ] = THIS GROUPING 
= ALL TECHNOLOGY 



-58- 



Area of Interest 

Within this grouping the specific area of interest is crimped fibers. 
Such fibers may be of various chemical compositions and may be linearly 
or helically crimped, but they are uncoated and of conventional cross- 
section. 

These fibers are used in weaving and in knitting various textiles, 
blankets, carpets and stockings and in preparing non^woven fabrics. As 
a result of the crimped structure, the end product may be of an improved 
quality and usually displays an increase in bulkiness and/or stretchability , 



Extent of Foreign Activity 

Prior to 1968 this area had some U.S. activity but practically no foreign 
patent activity. However, from 1968 to 1971, foreigners have obtained 
almost twice as many patents as domestic inventors. Japanese nationals 
have been exceptionally prolific in this field, receiving almost as many 
patents within those four years as U.S. inventors. The pattern of this 
activity is shown in the table below. 

Distribution of U.S. Patents in Area of Interest 

1963 64 65 66 67 68 69 70 71 Total 



Foreign 






















Japan 


1 










1 


2 


6 


11 


21 


Germany 


1 












2 


1 


1 


5 


Belgium 


1 


















1 


United Kingdom 










2 


2 


1 


3 


3 


11 


Italy 












1 




1 




2 


Canada 
















1 


1 


2 


Netherlands 


















2 


2 


Switzerland 


















1 


1 


Leb anon 













2 


1 
5 


5 


12 


19 


1 


Total Foreign 


3 


46 


U.S. 


14 


6 


5 


3 


8 


7 


6 


7 


6 


62 


Total 


17 


6 


5 


3 


10 


12 


11 


19 


25 


108 



-59- 



ELECTRONIC MUSICAL INSTRUMENT CONTROL 



Technological Context 

One of the technological groupings concerned with electronic musical 
instruments was selected because of the accelerating rate at which 
patents in the field are being granted to foreign nationals. The 
foreign share of this technology is projected to rise, in the next 
few years, from a present level of 30% to 85%, a figure almost three 
times that projected for the foreign share of all technologies. The 
following profile of this technological grouping compares it with the 
average of for all technologies. 




AV6. 7„ 

FOREIGN 



PROJECTED 

AVG- °/o 

FOREIGN 



% U.S. 
OWNED OF 
FOREIGN 



2.0% 



AVG. '(* 

TOTAU 

GROWTH 



[~]=TUIS GROUPING 
= ALl TECHNOLOGY 



-60- 



Area of Interest 

Within this grouping foreign activity was found to be concentrated in 
control systems for electronic musical instruments. Electronic guitars, 
accordians and, particularly, electronic organs have in recent years 
enjoyed a fast growth in popularity and consumer demand. A significant 
contributor to this increase has been the development, in such instru- 
ments, of control systems with the capability to select, by the simple 
actuation of keys or switches, from among a variety of "voices" (instru- 
ment sound characteristics) rhythm generation means, levels of vibrato, 
special effects (such as arpeggio) , or any of a growing number of 
features designed to augment electronic musical instrument sound flexibility, 



Extent of Foreign Activity 

As late as 1968 this technology was almost totally dominated by the U.S. 
Since 1969 however, foreign activity, particularly that of Japan, has 
grown very rapidly from relative dormancy to nearly a 30% share of 
patents by 1971. This becomes even more significant viewed in light of 
the sharply increased U.S. effort in the field during the latter part of 
the period. The pattern of U.S. and foreign activity is shown in the 
table below. 



Distribution of U.S. Patents in Area of Interest 



1963 64 65 66 67 68 69 70 71 Total 



Foreign 






















Japan 






1 








2 


4 


8 


15 


Italy 












1 








1 


Austria 








1 












1 


Sweden 














1 






1 


Canada 


















1 


1 


United Kingdom 
















1 




1 


Germany 







1 


1 





1 


3 


1 
6 


9 


1 


Total Foreign 





21 


U.S. 


4 


2 


3 


11 


6 


4 


7 


9 


16 


62 


Total 


4 


2 


4 


12 


6 


5 


10 


15 


25 


83 



-61- 



POLY AMIDE RESINS DERIVED FROM LACTAMS 



Technological Context 

The technological grouping concerned with resin reaction products of 
(a) aminocarboxylic acids, or (b) amides (or imides) of a polycarboxylic 
acid or its functional derivatives, was selected as being of interest 
because foreign nationals are obtaining about 48% of all patents in the 
grouping, almost twice the average for all technologies. Projections 
indicate this will increase to over 65% within a few years. The 
following profile includes this statistical data. 



9o7 
807, 



/0.8% 




?.0% 



AV6. 7o 
FOREIGN 



PROJECT ED 
AVIS. % 
FOREIGN 



OWMEP 0? 
FOREIGN 



AV/6. 7o 

TOTAL 

6>£OWTH 



[ | = THIS GROUPING 
r ALL TECWM0L06V 



-62- 



Area of Interest 






Within this grouping, foreign activity was found to be concentrated in 
polyamide resins, analagous to nylon, derived from monomer lactams 
having at least seven ring members. These resins are utilized in fibers, 
moldings, coatings, and the like. 



Extent of Foreign Activity 

Since 1963, German activity has been relatively high in this field, 
the number of patents to German inventors accounting for almost half of 
all patents issued to foreign residents. Although domestic activity was 
responsible for a majority of the patents through 1968, this has decreased 
in the last few years, as shown by the comparison below. 



Distribution of U.S. Patents in Area of Interest 



1963 64 65 66 67 68 69 70 71 



Total 



Foreign 






















Germany 


1 


1 


3 


3 


4 


3 


9 


8 


8 


40 


France 






1 






1 






1 


3 


Switzerland 






1 






3 




1 


2 


7 


Czechoslovakia 






1 










2 


1 


4 


United Kingdom 








2 






2 


1 


5 


10 


Japan 








1 






4 


4 


6 


15 


Netherlands 








1 




5 


1 


4 


2 


13 


Russia 










1 










1 


Canada 










1 










1 


Hungary 














1 






1 


Belgium 




1 


6 


7 


6 


12 


17 


20 


1 
26 


1 


Total Foreign 


1 


96 


U.S. 


2 


6 


3 


16 


10 


13 


24 


10 


13 


97 


Total 


3 


7 


9 


23 


16 


25 


41 


30 


39 


193 



-63- 



DRYING WITH PERFORATED CONVEYOR DRUMS 



Technological Context 

One of the technological groupings dealing with apparatus which utilize 
a plurality of rotary drums for drying material was selected as being of 
interest because foreign nationals are currently obtaining about 70% of 
the patents in the grouping. This figure is projected to exceed 90% in 
the next few years. The following profile of this technological grouping 
compares it with the average for all technologies . 







AV6. °/o 
FOREIGN 



PROJECTED 
AV6- °/o 
FOfcEt&N 



2 2Xe.o7o 




% U.S. 
OWNEP OF 
FOREIGN 



AV6. °/o 
ToTAL- 
6£0wiTH 



II J- THIS GROUPING 
a ALL TECHNOLOGY 



-64- 



Area of Interest 

Within this grouping, foreign activity was found to be concentrated in the 
use of these drums for both conveying the material to be dried as well as 
for passage of the drying vapor. The material is passed over and under 
the drums which have perforations through which the drying gas passes. 
The material to be dried is usually paper and is transported on a felt 
carrier. 



Extent of Foreign Activity 

The Germans have shown a continuing interest in this area from 1963 to 
the present. Other foreign countries have shown very little interest. 
U.S. activity has been limited but relatively constant. The pattern of 
U.S. and foreign activity is shown below. 



Distribution of U.S. Patents in Area of Interest 



1963 64 65 66 67 68 69 70 71 



Total 



Foreign 






















Germany 


5 


5 


2 




3 


11 


12 


8 


7 


53 


Sweden 




1 




1 


2 










4 


United Kingdom 






1 














1 


Australia 










2 










2 


Japan 




6 


3 


1 


1 
8 


11 


12 


8 


2 
9 


3 


Total Foreign 


5 


63 


U.S. 


2 


2 


1 


2 


5 


1 





2 


1 


16 


Total 


7 


8 


4 


3 


13 


12 


12 


10 


10 


79 



-65- 



LIGHT SENSITIVE COMPOSITIONS CONTAINING SILVER COMPOUNDS 



Technological Context 

The technological grouping of light sensitive compositions containing 
a silver compound was considered to be of interest because currently 
57% of the patents in this grouping reflect the work of non-domestic 
inventors and this is anticipated to rise to 75% within the next few 
years. A profile of this technological grouping appears below. 



11.27. 




AV6 7o 
FOREIGN 



PROJECTEP 
AV6. 7o 
FOREIGN 



% U.S. 
OWNED OF 
FOfcENSN 



5.57. 



2.0V. 




AVG. 7o 
TOTAL 
GROWTH 



Q=THIS GROUPING 
= ALL TECHNOLOGY 



-66- 



Area of Interest 

The area of interest lies within the field of color photography. More 
specifically, it is that aspect which concerns light sensitive compositions 
containing a silver compound, usually the halide, and a processing in- 
gredient, such as a dye. The processing ingredient contributes to 
differentiating between the exposed and the unexposed areas of photographic 
film, thereby producing an image. 

Included in this technology are compositions comprising an emulsion of a 
silver halide, a developer and a dye. After the composition (on photo- 
graphic film) is exposed to light, the exposed silver compound is reduced 
to silver by the developer. The film is subsequently treated with a bleach 
bath to destroy or solubilize the dye in the light struck areas with the 
silver acting as a catalyst. The silver is removed by a later treatment. 
A positive print, rather than a negative, is produced, the print being 
unusually light stable. 

Another type of composition, although containing a silver halide and a 
developer, has a coupler instead of the dye. After the composition is 
exposed, the developer is oxidized by the silver salt, (which in turn 
is reduced to silver). The oxidized developer reacts with the coupler, 
such as by diazotization, producing a dye in the light struck areas. 
After processing, a negative results which must be used in preparing a 
positive print. 



Extent of Foreign Activity 

Switzerland, Germany and Japan (among others) have all been quite active 
in this area. However, since 1968, the number of patents issuing to 
German and to Japanese inventors has been more than double that of the 
patents issuing to the Swiss. Data by year and by country appear below: 

Distribution of U.S. Patents in Area of Interest 

1963 64 65 66 67 68 69 70 71 Total 



Foreign 






















Germany 


1 


1 


7 


3 




9 


5 


5 


12 


43 


United Kingdom 


1 


4 




3 


3 


2 






5 


18 


Switzerland 




3 


10 


3 


3 


2 


7 


1 


1 


30 


Belgium 




1 


4 


4 


2 


4 


2 


1 


7 


25 


Japan 










3 


3 


6 


4 


20 


36 


Sweden 










1 










1 


Italy 




9 


21 


13 


12 


20 


2 
22 


1 
12 


45 


3 


Total Foreign 


2 


156 


U.S. 


7 


8 


10 


28 


10 


14 


12 


10 


22 


121 


Total 


9 


17 


31 


41 


22 


34 


34 


22 


67 


277 



-67- 



Level IV 



-69- 



TRACKED AIR CUSHION VEHICLES 



Technological Context 

Foreign nationals are obtaining almost half of all patents in a railway 
equipment technological grouping which includes tracked air cushion 
vehicles. Their share is projected to exceed 90%, or three times the 
projected average for all technologies, within the next few years. The 
following profile of this technological grouping compares it with the 
average for all technologies. 




AV6. % 
FOREtSN 



PROJECTED 

AV6.°/o 

foreign 



%> U.S. 

OWNEP OF 
FOREIGN 



AVG.V* 

TOTAL- 

OJ20VUTH 



]=BUS <SfcOUPllO<o 
I=ALL TECUNOLOCbY 



-70- 



Area of Interest 

Over the past ten years there has been renewed interest, both in the 
United States and abroad, in the development of efficient high-speed 
track -guided transit systems, as well as of low-speed "people-mover" 
systems for use in urban areas. As a result, effort has been directed 
in the area of levitation systems in which the vehicle is "floated" 
above or below the trackway utilizing a confined gas cushion supplied 
by either the vehicle or the track. Theoretically, such vehicles 
(referred to as Tracked Air Cushion Vehicles or TACV's) are capable of 
virtually frictionless movement along a trackway at speeds possibly in 
excess of 300 miles per hour, the only theoretical resistance to motion 
being provided by the aerodynamic drag of the vehicle. 

TACV's are believed capable of providing efficient transportation both 
from the standpoints of speed and cost per passenger mile. 



Extent of Foreign Activity 

Ninety-six patents (listed in the appendix and including patents issued 
in 1972) were found to be particularly relevant to this area of interest. 

Between 1963 and 1967, when many of the basic design concepts in this 
area were patented, 59% of the patents issued to U.S. inventors. Yet, 
from 1968 to 1971 when most development centered about critical subsystems 
such as propulsion, braking, cushion producing structure, and trim control, 
foreign nationals, particularly the British and French, obtained 84% of 
all patents in this area. 

The changing pattern of U.S. and foreign activity is shown in the table 
below. 



Distribution of U.S. Patents in Area of Interest 

1963 64 65 66 67 68 69 70 71 Total 



Foreign 






















France 


1 




1 




4 


2 


4 


7 


15 


34 


United Kingdom 






1 


1 


3 


2 


2 


2 


11 


22 


Rhodesia 




1 
















1 


Germany 




1 


2 


1 


7 


4 


6 


9 


1 
27 


1 


Total Foreign 


1 


58 


U.S. 


8 


3 


3 


2 


1 


2 


2 


2 


3 


26 


Total 


9 


4 


5 


3 


8 


6 


8 


11 


30 


84 



-71- 



Thrust of Technological Activity 

TACV systems may be classified according to several criteria. The vehicles 
may operate on "passive" or "active" tracks. In the former case, the gas 
is supplied by the vehicle, in the latter, by the trackway. In both cases, 
the cushion-producing structure is on board the vehicle. 

The vehicle cushion-producing structure may be suspended above or below 
its support surface, the gas cushions necessarily operating at super- 
atmospheric pressures in the first instance and sub -atmospheric pressures 
in the second. The vehicles may be propelled by linear induction motor, 
jet, airscrew or traction wheel, or by means associated with the cushion 
producing structure to induce rearward flow of escaping gas. 

Another type of system which has received some attention, although not 
always considered a TACV system in the popular sense, involves a pro- 
jectile type vehicle moving through a closely fitting tube which acts 
as a guideway. As the vehicle moves rapidly, the gaseous medium through 
which it moves is compressed by the passage of the vehicle and prevents 
the vehicle from contacting the tube. This system is considered as 
having a passive track, with the vehicle suspended inside the trackway, 
operating at super-atmospheric cushion pressure provided by ram effect. 
Aircraft-type propulsion is suitable for this vehicle. 

Prior to 1963, several patents, granted to U.S. inventors, dealt with 
TACV's which were operable on tracks similar to standard railway rails. 
The vehicles carried gas-discharging shoes which engaged the rails and 
formed a cushion therebetween. In addition, two other patents of note 
were issued to U.S. inventors, one being for a high speed, tube encased, 
ram effect vehicle of the type mentioned above. The other showed a 
"Hovercraft" type of vehicle adapted to engage and follow a guide rail. 

Between 1963 and 1967, a number of patents, issued for the most part to 
U.S. residents, set forth the basic concepts of current passive track 
TACV design. One discloses "V" and "T" shaped and angled-face tracks 
(which offer large bearing and guidance surfaces which are compatible with 
reasonable cushion pressures), retractable auxiliary wheels, and pro- 
pulsion by a linear induction motor, one component of which is incor- 
porated in the trackway. A second patent discloses traction wheel drive. 
Another shows the use of aircraft type propulsion and caliper braking. 

U.S. inventors also received patents on an active track system (cushions 
supplied from openings in pressurized track) , the nozzles of the track 
being canted to provide propulsion, and a system in which the vehicle 
is suspended beneath its supporting trackway surface by a suction-type 
cushion operating at less than atmospheric pressure. 

Patents were granted to French nationals for a switching system, an 
auxiliary cushion-supplying ram air intake, a railway truck-type guidance 
cushion mounting, and a more sophisticated fluid actuated caliper braking 
system. A British inventor received a patent on a vehicle which utilized 
gas from a drive turbine to supply support cushions. 



-72- 



Since 1968, a large number of patents have been issued which deal 
primarily with improvements of various, known TACV systems. Fully half 
of the patents issued since that time are held by French nationals, most 
of them being assigned to Bertin et Cie, and the Societe d l Etudes de 
l'Aerotrain. The latter has been engaged, for some time, in full scale 
prototype studies of the Aerotrain, a high speed passive track system 
with the vehicle support cushions operating at a pressure greater than 
atmospheric and the vehicle being suspended above the track. These 
patents disclose improvements in various subsystems used in conjunction 
with this type vehicle such as cushion -producing structures and sus- 
pension systems (between vehicle body and cushion-producing structures) . 
Improvements have also been made in vehicle switching and track structure. 

The above-mentioned companies also are engaged in the development of 
systems wherein the vehicle is suspended below the track with the cushions 
operating at a pressure less than atmospheric. 

Of the patents granted to British and U.S. inventors during this period, 
the bulk deal with subsystem design improvements such as propulsion, 
switching and vehicle handling. 

In general, therefore, it would appear that the major developmental 
emphasis to date in the TACV field is directed at the high speed vehicle, 
guided by a shaped passive track and supported above the track by a 
vehicle-supplied super-atmospheric gas cushion. 

However, considerable activity in the development of new concepts in 
TACV vehicle and trackway design, indicated that the second-generation 
operational high speed TACV may be of the type suspended below a passive 
trackway surface by a sub-atmospheric cushion maintained by on-board 
equipment. 

Slightly less vigorous, in the patent sense, is the development of a 
low-speed active track system in which the vehicle is suspended above the 
track, by means of a vehicle-borne cushion confining device interacting 
with gas supplied from the trackway. Most effort here has been directed 
toward development of the overall system, including switching and vehicle 
handling equipment and subsystem design. 



Technology analysis by 
Daniel W. Keen, 
Patent Examiner 



-73- 



Appendix to "Tracked Air Cushion Vehicles" 



Selected Patents 



France 






3 


,190 


,235 


3 


,330 


,384 


3 


,385 


,390 


3 


,417 


,709 


3 


,459 


,137 


3 


,464 


,365 


3 


,482 


,528 


3 


,515 


,073 


3 


,530 


,798 


3 


,559 


,758 


3 


,577 


,927 


3 


,580 


,181 


3 


,581 


,667 


3 


,585 


,937 


3 


,601 


,062 


3 


,618 


,529 


3 


,621 


,788 


3 


,643 


,600 


3 


,648 


,620 


3 


,698 


,506 


3 


,332 


,361 


3 


,340, 


,822 


3 


,347 


,170 


3 


,516 


,362 


3 


,561 


,364 


3, 


566. 


,797 


3 


,575. 


,115 


3 


,578 


,768 


3 


,583 


,323 


3 


,616. 


760 


3 


,658 


,010 


3. 


695, 


382 


3 


,695, 


383 


3 : 


467, 


024 


3: 


559, 


583 


3, 


087, 


439 


3, 


498, 


234 


3 = 


500. 


763 


3, 


511, 


186 


3 : 


534, 


689 


Germany 






3 = 


611, 


944 


Rhodesia 






3, 


119, 


349 



Assignee 



Societe Bertin & Cie 
ii 

ii 

ii 
ii 
ii 
ii 
it 
ii 
it 
ii 
it 
it 
it 
it 
ii 
it 
it 
it 



Societe d' Etudes de l'Aerotrain 
ti 

it 

tt 

i.i 

it 

ii 

ii 

it 

it 

it 



Societe Generale de Constructions 

Electriques et Mecaniques (ALSTHOM) 

Safege Transport 

No Assignee 
it 

ii 

it 
it 



Messerschmitt-Bolkow GmbH 



Pneuways Development Co. (Private) Limited 



-74- 



United Kingdom 

3,174,440 
3,276,392 
3,330,221 
3,356,041 
3,361,081 
3,369,497 
3,460,485 
3,477,387 
3,500,765 
3,516,361 
3,557,704 
3,575,116 
3,585,939 
3,586,141 
3,602,147 
3,608,838 
3,611,945 
3,623,434 
3,625,157 
3,631,809 
3,680,489 
3,338,175 
3,595,171 
3,613,821 



Hovercraft Development Ltd. 



it 
ii 
ii 
ii 
ii 
ii 
ii 
ii 
ii 
ii 
M 
ii 
ii 
M 
it 
ii 
ti 
ii 



Westland Aircraft Limited 

Rolls-Royce Limited 

National Research Development Corp, 



United States 

3,086,479 
3,111,092 
3,111,093 
3,121,401 
3,096,728 
3,164,103 
3,443,524 
3,587,471 
3,680,488 
3,696,753 
3,090,327 
3,109,386 
3,233,559 
3,333,550 
3,385,228 
3,675,582 
3,100,454 
3,108,546 
3,125,964 
3,155,050 
3,168,875 
3,225,228 
3,238,894 



Ford Motor Company 
ii 



General Motors Corp. 
ii 

Jack W. Schneider 
ii 

Transportation Technology, Inc. 
ii 

Carwell Enterprises, Inc. 

North American Aviation, Inc. 

Lor Corporation 

Gorham Universal Manufacturing Co. 

Skinner Precision Industries, Inc. 

Teledyne Ryan Aeronautical Company 

No Assignee 



Inc. 



-75- 



United States (cont'd) 
3,373,697 
3,439,772 
3,527,170 
3,543,685 
3,595,172 
3,603,261 
3,678,860 



No Assignee 



Includes those 1972 patents available to the examiner at the time this 
report was prepared. 



-76- 



CARTRIDGE CHANGER SYSTEMS 



Technological Context 

The technological grouping concerned with magnetic sound recording and 
reproducing cartridge changer systems was selected as being of interest 
because foreign nationals are obtaining 46% of all patents placed in the 
grouping. This is more than one and a half times the foreign share 
average for all technologies and is projected to reach 75% in the next 
few years. The following profile of this technological grouping compares 
it with the average for all technologies. 



7U/6 

807. 






6o7. 




40V. 


4 


46% 


20'/. 






07. 







FOREIGN 




2.0% 



PROJECTED 
FOREIGN 



ft U.S. 
OWNED OF 

Foreign 



Ave- Vo 

TOTAL 
<3ROWTH 



Q=THIS GROUPING 
= ALL TECMNOLOGy 



-77- 



Area of Interest 

Cartridge changer systems provide for sequential and/or selective repro- 
duction of sound tracks recorded on magnetic tapes housed in a storage 
container. The sequential changer is analogous to the conventional disc 
record changer. The selective cartridge changer, on the other hand, is 
analogous to the "juke box" type systems for disc records. This technology 
was stimulated by the now wide-spread acceptance in the sound recording 
industry of magnetic tape cartridge systems, pioneered in the late 1940 f s. 
This was due in part to the simplicity, durability and sound storage 
capacity of such cartridges. 

The term cartridge is used herein to refer generically to both the endless 
reel cartridge as well as the two reel cassette. No attempt has been made 
to distinguish the inherent differences between changers for each cartridge 
type. 



Extent of Foreign Activity 

United States activity has been fairly steady in this area since 1965. 
Its activity was dominant until the dramatic upsurge of Japanese activity 
in the last few years. Japan has now become the most active country in this 
area. The pattern of United States and foreign activity is shown in the 
table below. 



Distribution of U.S. Patents in Area of Interest 

1963 64 65 66 67 68 69 70 71 Total 



Foreign 






















Japan 


1 




2 




1 


1 


2 


7 


13 


27 


United Kingdom 








1 






1 






2 


Germany 












1 






1 


2 


Austria 














1 


1 


2 


4 


Argentina 
















1 




1 


France 







1 
3 


1 


1 


2 


4 


9 


16 


1 


Total Foreign 


1 


37 


U.S. 


1 


2 


6 


7 


6 


3 


10 


8 


6 


50 


Total 


2 


2 


9 


8 


7 


6 


14 


17 


22 


87 



-7S- 



Thrust of Technological Activity 

The concept of automatic replay of preselected recordings was initially 
applied to a plurality of magnetic tapes, each enclosed in a cartridge, 
in the 1950 f s in the United States. These early systems normally employed 
a plurality of single program tape cartridges. Each cartridge usually had 
associated with it a separate play station into which it was moved when 
selected. Thus, the selection of the cartridge determined the program to 
be played. 

More recent developments have been directed, principally, at systems using 
a single play station. Sixty-four patents (listed in the Appendix and 
including patents issued in 1972) were found to be particularly relevant 
to these developments. The activity pattern of the last four years of 
selected patents is shown in the table below. 

Distribution of Selected U.S. Patents 

1969 70 71 72 



Foreign 










Japan 




4 


11 


12 


United Kingdom 


1 






1 


Austria 






2 




Germany 




T 


1 
14 




Total Foreign 


1 


13 


U.S. 


3 


3 


4 


10 


Total 


4 


7 


18 


23 



These developments can be divided into three main areas of activity; those 
dealing with a stacked supply of cartridges, those dealing with movable 
play station and those dealing with a movable supply of cartridges in a 
tray. 



Stacked Cartridge Supply . Cartridge changers utilizing a stacked car- 
tridge supply system and a single play station can be either sequential 
or selective. However, most of the attention directed to the stacked 
supply system has been focused on its use in sequential changers. 

A primary problem to be faced in this type of changer and, to one degree 
or another, in all cartridge changers is the interchange of one cartridge 
for another. The different aspects of the problem are: 

— providing a cartridge supply, 

— interchanging one cartridge for another, and 

— disposing of the played cartridge. 

In stacked supply systems, a frequent approach to the problem, and one 
which effectively limits the system to sequential operation, has been 
the utilization of a storage bin accommodating a vertical cartridge stack 



-79- 



as a supply station. A transfer mechanism is provided for taking 
the cartridges as they successively fall to the bottom of the bin 
and loading them into the play station after the previously played 
cartridge has been removed. Various methods have been applied to 
disposing of the cartridge after playing, including reloading or 
dropping into a second chamber, or res tacking it as the top cartridge 
in the supply storage bin utilizing article handling principles. 



Movable Play Station . An alternative approach, which has received 
some attention, is the provision of a horizontal array or vertical 
stack of cartridges mounted in a cabinet with the edges of the 
respective cartridges lying in a common plane. Reproduction is 
accomplished by a play station mounted, for example, on a feed screw 
to be driven or indexed in a direction parallel with tae common plane, 
The cartridge or the play station is then moved relative to the other 
to provide an operative engagement. This approach has been utilized 
in both selective and sequential changers. 



Movable Cartridge Supply . Movable cartridge supply systems are readily 
adaptable to both sequential and selective changers. Yet, most U.S. 
activity with this type of system (and some Japanese activity) has 
centered about its use in sequential changers. 

The most utilized approach has been to place the cartridges in a 
circular or linear tray which may be indexed to positions where each 
cartridge, in turn, is opposite a single play station (a principle 
similar to that utilized in many automatic slide projectors) . A 
cartridge positioned opposite the play station may be moved into the 
station and returned to the tray after play, of the station may be 
moved into and out of operative engagement with the cartridge in the 
tray. 

Patent activity involving the use of the movable cartridge supply 
system in selective changers has, for the last three years, been 
virtually dominated by a single Japanese inventor. 

Between 1970 and 1972, this inventor received a series of 18 patents 
on selective changer systems designed for multiple sound tape program 
cartridges. Each of these patents features the cartridges mounted in 
a movable tray just as in the sequential changer systems described 
above. However, in the Japanese patents, mechanism is provided to 
permit each cartridge to be selectively, rather than sequentially, 
positioned opposite the single play station. An exemplary type of 
selector consists of a separate electro-mechanical switch corresponding 
to each cartridge and to each program on the cartridges. The selection 
process is then one of first selecting one or more of the plurality of 
cartridges and then selecting one or more of the programs from the 
selected cartridges. No other foreign inventors have evidenced any 
significant interest in this area, while U.S. inventors have received 
only six patents involving this approach. 

Technology analysis by 
Dennis A. Dearing, 
Patent Examiner 



-80- 



Appendix to "Cartridge Changer Systems" 



Selected Patents 



Austria 



Assignee 



3,589,733 
3,620,385 



U.S. Philips Corporation 
ii 



Germany 

3,617,066 

Japan 

3,561,004 
3,646,611 
3,582,082 
3,606,346 
3,667,624 
3,671,682 
3,690,587 
3,504,916 
3,511,508 
3,512,785 
3,512,786 
3,578,334 
3,578,335 
3,578,336 
3,584,879 
3,591,187 
3,592,975 
3,599,986 
3,599,987 
3,672,683 
3,672,686 
3,682,480 
3,693,981 
3,697,083 
3,697,084 
3,698,722 

United Kingdom 
3,484,055 
3,643,962 

United States 
3,578,262 
3,653,669 
3,659,857 
3,659,858 
3,659,859 
3,666,201 
3,690,679 



The Wurlitzer Company 



Matsushita Electric Industrial Co., Ltd. 
ii 

Aiwa Co. , Ltd. 

Victor Company of Japan, Ltd. 

Hitachi Ltd. 

Pioneer Electronic Corp. 

Nippon Columbia Co., Ltd. 

No Assignee 



Molins Machine Co., Ltd, 
No Assignee 



Ampex Corporation 
m 

ii 

v 
ii 
ii 
ii 



United States (cont'd) 



-81- 



3,176,580 
3,353,443 
3,603,597 
3,439,127 
3,650,413 
3,317,212 
3,677,555 
3,140,360 
3,127,178 
3,247,328 
3,289,962 
3,291,323 
3,408,139 
3,453,397 
3,477,726 
3,604,713 
3,658,193 
3,682,438 
3,083,269 
3,126,162 
3,494,622 
3,332,319 
3,359,665 
3,511,940 
3,524,949 
3,556,535 



Bell & Howell Co. 
n 



Sarkes Tarzian Inc. 
ii 

Warwick Electronics Inc. 
ii 

U.S. Gov't. 

The Wurlitzer Co. 

Sierra Capital Co. & Continental Capital Co, 

E. H. Hurst & F. M. Keating 

Minnesota Mining & Manufacturing Co. 

The Kalart Co., Inc. 

Cart-Trac, Inc. 

Philco-Ford Co. 

Bolt Beranek & Newman, Inc. 

Data Instruments Co. 

Berg Manufacturing Co. 

No Assignee 
ii 

ii 

ii 

ii 

it 

ii 



-82- 



OPEN END SPINNING OF YARN 



Technological Context 

One of the technological groupings concerned with apparatus for spinning 
yarn was selected as being of interest because foreign nationals are 
obtaining about 72% of all patents in the grouping. This is almost three 
times the foreign share average for all technologies, and is projected to 
exceed 90% in the next few years. The following profile of this technical 
grouping compares it with the average for all technologies. 



80% - 



11.27. 




4.5% 



I 2 - '/* 



AVG- */• 



PROJECTED 
AVG • °/o 
FOREIGN 



OWNEO <9F 
FOEElGN 



AVG.% 

TOTAL 

GfcOWTH 



]= THIS GROUPING 
!ss ALL TECHNOLOGY 



-83- 



Area of Interest 

Within this grouping foreign activity was found to be concentrated in 
the open-end spinning process. This process involves spinning and 
twisting fibers in a spinning chamber, rotating at high speed, for 
forming and delivering a yarn. The fibers are drawn through an inlet 
tube due to suction developed in the interior of the spinning chamber, 
deposited on its inner rotating surface in a spinning and twisting 
operation, and then delivered as a yarn through a delivery tube. 

One of the primary advantages of open-end spinning is the high speed 
at which the yarn is produced. However, the strength of the yarn produced 
by this process is generally considered to be inferior to that of yarn 
produced by the conventional ring and traveller system. 



Extent of Foreign Activity 

Prior to 1967 this area attracted very little patent activity. What 
activity existed was about equally divided between U.S. and foreign 
inventors. During 1967 and 1968 sixteen patents issued, all but three 
of which were obtained by residents of Czechoslovakia. In succeeding 
years other countries, including the U.S., have become active. However, 
for the five year period from 1967-1971, foreigners obtained about five 
times as many patents as U.S. residents. The pattern of U.S. and foreign 
activity is shown in the table below. 



Distribution of U.S. Patents in Area of Interest 



1963 64 65 66 67 68 69 70 71 



Total 



Foreign 






















Czechoslovakia 




2 






9 


4 


5 


1 


1 


22 


Japan 












2 


2 


1 


2 


7 


Germany 














7 


3 


1 


11 


United Kingdom 














3 


2 


2 


7 


USSR 
















3 


3 


6 


Switzerland 
















1 


2 


3 


Australia 














1 






1 


France 






1 














1 


Total Foreign 





2 


1 





9 


6 


18 


11 


11 


58 


U.S. 
Total 


1 
1 


2 
4 



1 


1 
1 


1 
10 



6 


4 
22 


1 
12 


5 

16 


15 
73 



-84- 



Thrust of Technological Activity 

In the early 1960 's the Czechs pioneered the use of a biconically shaped 
spinning chamber for open-end spinning. In succeeding years the Czechs 
and others continued to develop machinery embodying this type of chamber. 
Fifty-four patents (listed in the Appendix and including patents issued 
in 1972) were found to be particularly relevant to this line of develop- 
ment. The table appearing below shows the activity pattern of the 
selected patents. 

Distribution of Selected U.S. Patents 



1963 64 65 66 67 68 69 



70 



71 Total 



Foreign 

Czechoslovakia 

France 

Germany 

Japan 

Switzerland 

United Kingdom 

U.S.S.R. 

Total Foreign 



10 



12 



21 
1 
6 
6 
4 
3 
6 

47 



U.S. 
Total 











8 



_1_ 
12 



12 



_1 
10 



50 



One of the problems associated with these chambers is the quality of the 
finished yarn produced. 

One patentee attempts to improve the quality by feeding slivers of fibers 
into the spinning chamber through two different inlet canals or tubes. 
This patent also discloses that with the two canal system it is possible to 
blend two bundles of fibers having different fiber characteristics, such 
as color, count (i.e., weight), stretch, shrink, curl, crimp, etc. Another 
attempts to increase the strength of the yarn by admitting a liquid into 
the spinning chamber so as to exert drag on the fibers as they are with- 
drawn as a yarn. 

Attempts also have been made to improve the yarn by modifying the basic 
shape of the spinning chamber. One patentee adds a funnel-shaped flange 
to the delivery tube. This flange extends into the chamber and effectively 
modifies the bottom wall of the chamber and guides the yarn so as to avoid 
excess tension as the yarn enters the delivery tube, thereby preventing 
the yarn from separating in the chamber. Still another patent shows the 
chamber with a fiber collecting circumferential groove which extends the 
diameter of the chamber to a sharp point beyond where the two cones would 
ordinarily meet. The fibers are deposited and compacted in this groove 
before being withdrawn as a yarn. 



Another problem encountered in the use of these chambers is the difficulty 
in maintaining the chambers free of impurities. One way found to prevent 
impurities from being included in the finished yarn is to remove them 



-85- 



before they are deposited on the spinning surface of the spinning chamber. 
One of the early patents attempting to overcome this problem discloses a 
fiber retaining groove in the chamber and circumf erentially spaced openings 
adjacent to the groove through which the impurities are expelled. A later 
attempt to remove these impurities provides an annular opening between the 
spinning chamber and a stationary cover and incorporates an annular lip 
extending from the cover into the spinning chamber adjacent to the opening. 
The lip is designed to catch and deflect the impurities so that they are 
expelled through the opening as the chamber rotates. 

Other patents have issued which teach periodically cleaning the spinning 
chamber of impurities after they have accumulated therein. For example, 
one inventor developed a mechanical stripper which would be used peri- 
odically to remove the build up of extraneous matter. Another patent 
suggests the use of a cleaning process which would start automatically 
in response to various factors, one of them being excessive build-up of 
extraneous matter in the spinning chamber. 

Effort has also been directed towards a variety of improvements in the 
mechanical operation of the equipment closely associated with the bi- 
conical chambers. One patentee adds a gripping member for holding the 
yarn in place when the machine is stopped. Another reduces the friction 
produced by the high speed of the spinning chamber by supporting it on 
a vertical shaft which has air lubricated bearings at its opposite ends. 

A related area, not treated herein, in which the same foreign countries 
are very active is the breaking up and feeding of fibers into the inlet 
tube. 



Technology analysis by 
Donald E. Watkins , 
Patent Examiner 



-86- 



Appendix to "Open End Spinning of Yarn" 



Selected Patents 



Assignee 



Czechoslovakia 

3,121,306 
3,126,697 
3,334,479 
3,336,741 
3,336,742 
3,339,360 
3,354,627 
3,357,168 
3,367,099 
3,368,340 
3,399,523 
3,404,523 
3,440,812 
3,445,993 
3,457,716 
3,462,936 
3,481,130 
3,538,698 
3,659,410 
3,328,949 

3,624,995 
3,339,359 



Vyzkumny Uslav Bavlnarsky 



Elitex Zavody testilniho strojirenstvi 
generalni reditelstvi 

ti 

No Assignee 



France 



3,163,976 
3,668,854 



Societe Alsacienne de Constructions 
Mecaniques de Mulhouse 



Germany 



3,425,205 



3,439 
3,481 
3,492 
3,501 
3,524 
3,640 
3,673 



,487 
,128 
,804 
,905 
,312 
,061 
,781 



Schubert and Salzer Machinenfabrik 
Aktiengesellschaft 



SKF Kugellagerfabriken GmbH 



Japan 



3,540,201 
3,604,194 
3,411,283 
3,501,907 
3,605,395 
3,626,681 



Tor ay Industries Inc. 
ii 

Toyoda Automatic Loom Works, Ltd. 
Toyo Rayon Company Ltd. 
Daiwa Boseki Kabushiki Kaisha 
Kabushiki Kaisha Toyoda Jidoshokki 



-87- 



Switzerland 

3,511,043 
3,535,868 
3,584,452 
3,597,911 



Rieter Machine Works Ltd. 



United Kingdom 

3,455,095 
3,520,122 
3,543,500 



T.M.M. (Research) Ltd. 
it 



United States 

3,447,298 
3,468,116 
3,620,002 



Maremount Corporation 
Barber-Colman Company 
Roberts Company 



U.S.S.R. 



3,500,623 
3,511,042 
3,421,440 
3,557,542 
3,595,002 
3,599,414 



No Assignee 



Includes those 1972 patents available to the examiner at the time this 
report was prepared. 



-88- 



SOLANACEOUS ALKALOIDS 



Technological Context 

The technological grouping concerned with compounds containing a six- 
membered heterocyclic ring with one nitrogen atom as the only hetero 
atom (e.g., pyridine, nicotine, and cocaine) was selected as being of 
interest because 45% of the patents in this grouping are being obtained 
by foreign nationals. This is anticipated to increase to 60% within a 
few years. The following profile compares this technology with the 
average for all others. 




AVG. 7c 
FOREIGN 



PROJECTED 
AV<3« °lt> 
FOREIGN 



OVUN60 OF 

FoeeiGN 



AV£.°/o 
TOTAL- 
6I20WTH 



I ] = TMIS 6GOUPIN6 
- ALL TeCMNOLOGY 



-99- 



Area of Interest 

Solanaceous alkaloids and derivatives thereof are well known pharmaceutical 
agents having a variety of effects in mammals. One or more of these com- 
pounds is capable of such uses as alleviating pain, reducing gastric, 
secretions and relieving spasms of the smooth muscles. These substances 
also find use in dilating the pupil of the eye and in inhibiting histamine 
formation. 

The main alkaloids in this area, each containing the same tropane nucleus, 
are cocaine, scopolamine, and 1-hyocyamine and its racemate, atropine. 
Each may be obtained by extraction from a particular crude plant material 
or may be produced synthetically. Their structures are shown below. 



Cocaine 



CH 3 
-M- 

H 

■— c - 



(ylo 



9 

COCU.. 



1-scopolamine 



CM 3 

— N— 

H 

— C — 

i 

o 



/^CHCH^Ori 



1-and d, 1-hyocyamine 
(i.e. atropine) 



CH 3 
-N-H 

M 

c — ' 

o 

c-o 



/^\cHCH^OM 



From a medicinal standpoint, atropine and scopolamine and their derivatives, 
are the most important compounds. (Cocaine has undesirable side effects, 
including strong addiction liability and 1-hyocyamine is unstable to light 
and heat, reverting to atropine.) However, although the atropine and 
scopolamine compounds have certain pharmaceutical properties in common 
(anti-cholinergic, motion sickness prevention, anti-tremor agent), there 
is a significant dichotomy in another effect. Scopolamine depresses the 
central nervous system (CNS) , and thus has narcotic and sedative action, 
while atropine stimulates the CNS, causing irritability and restlessness. 



Extent of Foreign Activity 

Since 1963, U.S. activity has approximated that of the combined foreign 
activity. Most of the non-domestic patents were received by German, 
Swiss and Dutch inventors, with the Germans predominating. It may be 
noted that only one company in Germany and only one company in the 
Netherlands accounted for all of the patents to residents in these two 
countries. The pattern of this activity is shown in the following table, 



-90- 



Distribution of U.S. Patents in Area of Interest 



1963 



64 65 66 67 68 69 70 71 



Total 



Foreign 






















Sweden 


1 


















1 


Germany 




1 








1 


2 


5 


2 


11 


Netherlands 




1 




1 


2 


1 


3 






8 


Hungary 




1 


1 










1 




3 


Great Britain 






2 










1 




3 


Switzerland 








1 


1 


1 


2 


2 




7 


Italy 






1 














1 


Spain 














1 






1 


France 














1 






1 


Total Foreign 


1 


3 


4 


2 


3 


3 


9 


9 


2 


36 


U.S. 


4 


8 


3 


4 


4 


2 


5 


6 


3 


39 


Total 


5 


11 


7 


6 


7 


5 


14 


15 


5 


75 



Thrust of Technological Activity 

The Germans have been principally concerned with the development of processes 
on an industrial scale for more economically feasible preparations of the 
semi -synthetic derivatives of atropine and scopolamine. Additionally, the 
German inventors have acylated the hydroxy groups present on the acid portion 
of the molecule and have quaternized the bridgehead nitrogen atom to improve 
anticholinergic activity. In general, the Germans have not attempted to 
change the properties of these alkaloids, but merely to enhance the pro- 
perties or avoid side effects. 



Dutch workers were especially active in this area during the years 1966- 
1969. The patents issued to these workers primarily concern changes in 
the pharmacological value of a tropane compound by combining it with a 
dibenzo-cyclo compound. When an ether or oximino ether group joined the 
two compounds, the product had enhanced anti-histaminic activity in addition 
to the usual atropine-associated properties. In other patents, the ether 
composite compound was also provided with moderate serotonin inhibiting 
power (related to inflamation of the joints) either by replacing a carbon 
atom (X) of the cycloheptane ring by a sulphur atom or by replacing one 
of the fused benzene rings with thiophene (5-membered S-containing ring) . 
In other patents, an ester linkage was used to obtain an ti -arrhythmic 
properties, instead of the anti-histaminic affects. Further modification 
of the ester by using a pyran-like ring, instead of the cycloheptane, and 
by inserting an ethylene group between the tropanyl moiety and the ester, 
results in a tranquilizer. These modifications are briefly summarized by 
the following formula: 



-91- 



R- 



-o- 

= N~0- 

■So- 



-2- 



<a= H,X=-CH- ; <H x -,orS- 



il « > »l 



O-CH^CH^, Q=oH, X = o 




Other patents to inventors in the Netherlands disclose derivatives employing 
the tropane nucleus with sulfonyl urea moieties, but these have only the 
expected strong anti-diabetic and hypoglycemic activity of the added 
sulfonyl urea. 

Recent Italian and French inventors have also sought to increase desired 
atropine activity without the undesirable side effects usually associated 
with it. The Italian patents concerned quaternization of the tropane 
nucleus nitrogen with benzoic or p-phenoxy benzoic acids. The French, 
on the other hand, prepared the propane and butane sultone inner salts 
of the tropane. These derivatives are significant since the products are 
less toxic and have no atropine-like side effects. 




The U.S. patents in this field do not appear to reflect a particular line 
of development. Diverse compounds are described as anti convulsants while 
still others are shown to have psychomotor depressant activity and others 
neuroleptic activity. 



Technology analysis by 
Alan L. Rotman, 
Patent Examiner 



-92- 



Appendix to "Solanaceous Alkaloids" 



Selected Patents 



Assignee 



France 

3,649,630 
3,704,235 
3,445,471 



J. Berthier S.A. Labs 
Commissiariat a l'Energie Atomique 
No Assignee 



Germany 

3,126,392 
3,372,164 
3,454,582 
3,472,861 
3,480,626 
3,502,683 
3,505,337 
3,544,578 
3,538,102 
3,557,125 
3,583,996 
3,703,523 



Boehringer 



Hungary 

3,134,783 
3,170,927 
3,530,137 
3,641,039 



Egyesult Gyogyszer-es Tapszergyar 



Italy 



3,178,436 
3,687,955 
3,699,109 



Lepetit S. p. A. 
No Assignee 



Japan 



3,696,110 



Gisai Kabushiki Kaisha 



Netherlands 

3,264,308 



3,351 
3,349 
3,396 
3,454 
3,462 
3,466 



,625 
,093 
,168 
,580 
,447 
,290 
3,119,829 



N.V. Koninklijke Pharmaceutische Fabrieken 
v/h Brocades Stheeman en pharmacia 



Spain 



3,484,444 



Jean Ricard 



Sweden 

3,126,392 



No Assignee 



-93- 



Switzei 


rlan< 


i 


3 


,239 


,531 


3 


,340 


,267 


3 


,413 


,296 


3 


,438 


,976 


3 


,445 


,470 


3 


,502 


,652 


3 


,356 


,682 


3 


,534 


,047 


3 


,661 


,916 


United 


Kingdom 


3 


,173 


,934 


3 


184 


,490 


3 


,492 


,329 


United 


States 


3 


,073 


,829 


3 


,073 


,830 


3 


,073 


,831 


3 


,120 


,537 


3 


,133 


,073 


3 


,134 


,782 


3 


,145 


,210 


3 


,145 


,211 


3 


,167 


,560 


3 


,198 


,794 


3j 


198. 


835 


3 


,261 


,841 


3 


,264 


309 


3. 


324 : 


137 


3 


365 ; 


457 


3 


510. 


411 


3 


637, 


410 


3 = 


679, 


690 


3, 


308. 


129 


3, 


317, 


544 


3j 


351, 


530 


3, 


458, 


507 


3, 


503, 


952 


3 = 


511, 


832 


3 


,565 


,891 


3 


,655, 


075 


3 


,657 


,252 


3. 


122, 


571 


3 


,162, 


641 


3 


,459 


,684 


3 


,657, 


,253 


3 


,657 


,257 


3 


,452 


,629 


3 


,470 


,187 


3 


,498 


,989 


3 


,132 


,148 


3 


,427 


,317 



Sandoz 



Whitefin Holding S.A. 
ii 

Ciba-Geigy 

Hardman & Holdon Ltd. 



Sterling Drug Inc. 

ii 
ii 
ii 
ii 
ii 
ti 
ii 
ii 
ii 
ii 
ii 
ii 
ii 
ii 
ii 
ii 

Smith Kline & French Laboratories 
ii 

ii 

ii 

ii 

ii 

ii 

ii 

ii 

E.I. duPont de Nemours & Co. 



A. H. Robins 
ti 

American Home Products 
ii 

ii 
Wallace U Tiernan Inc. 



-94- 



United States (cont'd) 
3,103,515 
3,252,981 
3,290,316 
3,364,219 
3,510,400 
3,519,633 
3,558,634 
3,560,509 



Abbott Laboratories 
Chemetron Corp. 
Hoffman -La Roche Inc. 
American Cyanamid Co. 
Phytogen Products Inc. 
Mead Johnson 
Revlon 
Up John 



Includes those 1972 patents available to the examiner at the time this 
report was prepared. 



-95- 



MHD GENERATION OF ELECTRICITY 



Technological Context 

One of the technological groupings relating to dynamo-electric generating 
apparatus was selected as being of interest because foreign nationals are 
currently obtaining 49% of all patents in the grouping, and this figure 
is projected to grow to 80% in the next few years. The overall growth 
of patents in the grouping is also much higher than average. The following 
profile of this technological grouping compares it with the average for 
all technologies. 




so\ 




AVG. % 

FOREIGN! 



PfcOJECTEP 

AVG- °/o 

FOREIGN! 



10 lo 






'5% 


m* 




I 


»r. 


" 1 




6.2Y. 


% 






01 







11.2V. 



8.6 # /a 



To U.S. 

OWNEP ©F 
FOREIGN 



2.0% 



AVG.Vo 

Total 

GROWTH 



]=TUis gboupikJg 
= ALL T6CHMOLOGY 



-96- 



Area of Interest 

Within this grouping foreign activity was found to be concentrated in MHD 
generation of electricity, which involves the passage of a conductive 
fluid, usually at high temperature, through a magnetic field. The fluid 
may be "seeded" with easily ionizable substances and is then driven at 
high volocity (usually by means of a nozzle disposed orthogonally to the 
magnetic field) through a generating duct. Electrodes positioned in the 
duct take off the generated electricity. 

The primary advantage of MHD generation is that it is a direct process 
for converting heat to electricity; the need for the usual mechanical 
structures that conventional electrical generators and alternators require 
are obviated. Efficiencies of MHD generation are quite high, higher than 
that of turbogenerator plants. 



Extent of Foreign Activity 

Prior to 1966 this area attracted relatively little foreign patent 
activity. U.S. activity appears to have peaked in the period from 1965- 
1967 and has registered an almost continual decline thereafter. Foreign 
patenting activity began to pick up within this period and became dominant 
in 1968. France, the United Kingdom and Germany have exhibited the greatest 
activity. The pattern of U.S. and foreign activity is shown in the table 
below. 



Distribution of U.S. Patents in Area of Interest 

1963 64 65 66 67 68 69 70 71 Total 



Foreign 

Germany 

France 

United Kingdom 

Iceland 

Switzerland 

Japan 

Sweden 

Austria 

Canada 

Italy 

Total Foreign 

U.S . 
Total 



1 


3 


2 


1 


7 


6 


3 


2 


4 


29 




1 




4 


5 


9 


18 


8 


6 


51 




1 


2 


1 


3 


5 


10 


4 




26 




1 
















1 




2 


1 


3 


3 


3 


5 






17 








1 


1 


2 


1 
1 
1 


1 
1 


4 


9 

1 
1 
1 
1 


1 


8 


5 


10 


19 


25 


39 


16 


14 


137 


8 


28 


40 


34 


34 


21 


32 


17 


10 


224 


9 


36 


45 


44 


53 


46 


71 


33 


24 


361 



-97- 



Thrust of Technological Activity 

In the development of MHD devices, a significant problem has been that 
of component wear resulting from the erosive effects of a high temper- 
ature conducting fluid moving at high velocity. Patent activity indi- 
cates that much effort has been directed at overcoming this problem by 
developing techniques or materials which will permit electrodes and duct 
walls to withstand these high temperatures and velocities. 

Seventy-five patents (listed in the Appendix and including patents issued 
in 1972) have been selected as being particularly relevant to this problem 
area. U.S. patent activity in the area shows basically the same pattern 
as in the MHD area taken as a whole. Foreign activity, however, is even 
greater in this area than for MHD as a whole, with France being, by far, 
the most dominant country. 

The table below shows the activity pattern of the selected patents. 

Distribution of Selected U.S. Patents 

1963 64 65 66 67 68 69 70 71 Total 



Foreign 






















Switzerland 




1 










1 






2 


Germany 




1 






1 




1 






3 


United Kingdom 






1 


1 




1 


5 






8 


France 










2 


3 


10 


7 


3 


25 


Japan 
















1 


3 


4 


Total Foreign 




2 


1 


1 


3 


4 


17 


8 


6 


42 


U.S. 


1 


2 


6 


9 


3 


4 


2 


1 


3 


31 


Total 


1 


4 


7 


10 


6 


8 


19 


9 


9 


73 



Analysis of these patents reveals that various approaches have been taken 
to counteract erosion, particularly electrode erosion, in MHD devices. 
An early (1964) Swiss invention, for example, dispensed with flow-contacting 
electrodes entirely. Instead, a transformer configuration external to the 
fluid flow is used to generate a current inductively. However, among patents 
issuing subsequent to the Swiss invention, there is little evidence of any 
extensive development along this line. 

Another approach which received some limited early attention in both 
the U.S. and foreign countries was the use of consumable electrodes 
that are continually replenished. This approach, however, requires 
relatively complex control mechanisms for determining when to provide, 
and for providing, electrode replenishment. 

The approaches which have received the greatest attention would seem to 
be those which deal with either (1) systems which cool the electrodes 



or the ducts, or (2) materials and techniques of construction which, by 
their natures, enable the electrodes and ducts to withstand the harsh 
environments present in MHD devices. 

U.S. inventors have displayed only limited interest, throughout the 
period, in developing suitable high temperature materials. Yet, much 
of the foreign effort in recent years , certainly a preponderance of the 
French effort, has followed this approach. 

In the area of materials development , patentees have disclosed the use of 
composite electrodes of refractory oxide segments joined by refractory metal 
joints, or of ceramic bricks combined with metallic elements. Layered and 
laminated electrodes have been explored. Many types of materials have been 
utilized — zirconia, boride, carbide, refractory ceramics of chromite and/or 
yttrium and zirconia, lanthanum oxide, chromium oxide, etc. All these and 
more, in various combinations and configurations, have been used in a 
concentrated effort to find the "right" material and construction for MHD 
electrodes and ducts to withstand the high fluid temperatures and velocities 
involved. 

On the other hand, U.S. attention and a significant portion of the foreign 
effort outside of France seems, for the most part, focused on the devel- 
opment of various types of cooling systems. These efforts, in recent 
years, have moved away from an initial concentration on the use of tubes 
and channels through which a cooling fluid was passed. Now, more sophis- 
ticated systems are being explored employing, electrodes that are, for 
example, segmented, partially composed of liquid and solid material, or 
protected by a layer formed by material injected into the duct. 

One patent, noting that too much cooling causes the deposition of a non- 
electrically conducting slag on the electrode, proposes the use of 
molten liquid electrodes which are retained in position by centrifugal 
force while being rotated. Another patentee seeks to solve the problem 
of slag build-up by periodic electrode current reversal. 



Technology analysis by 
Donovan F. Duggan, 
Patent Examiner 



-9*- 

Appendix to "MHD Generator of Electricity " 



Selected Patents 



France 



3,387,251 
3,408,528 
3,416,013 
3,423,611 
3,428,834 
3,430,082 
3,432,715 
3,450,905 
3,454,798 
3,475,352 
3,479,538 
3,487,256 
3,488,548 
3,515,913 
3,531,421 
3,574,142 
3,574,144 
3,660,701 
3,686,519 
3,355,604 
3,475,627 
3,505,543 
3,529,187 
3,582,976 
3,311,762 
3,508,087 
3,524,087 



Assignee 
Commissiariat a l'Energie Atomique 



Compagnie General d'Electricite 



Electricite de France Service National 



No Assignee 



Germany 



3,160,768 
3,358,163 
3,453,459 



Siemens Schuckwerke 



No Assignee 



Japan 



3,553,502 
3,621,310 
3,514,646 
3,630,968 



Hitachi Ltd. 
tt 



Mitsubishi Denk-Kobushiki Kaisha 

Agency of Industrial Science & Technology 



Switzerland 

3,122,663 
3,428,835 



Braun, Boveri et Cie 
ii 



United Kingdom 

3,171,990 
3,281,614 
3,379,904 
3,480,805 



G. Kent Ltd. 

C.A. Parsons & Co. 

Central Electricity General Board 

English Electric Company 



-100- 

3,484,859 Rolls Royce & Central Electricity 

3,470,398 No Assignee 

3.478.235 No Assignee 

3.478.236 No Assignee 

United States 

3,161,788 Avco. 



3,242,354 

3,274,408 

3,349,260 

3,387,150 

3,397,331 

3,406,300 

3,617,781 " 

3,259,767 Westinghouse 

3,271,597 

3,275,860 

3,280,349 

3,309,545 

3,356,870 

3,401,278 

3,462,621 

3,215,870 Allis-Chalmers 

3,215,871 

3,219,852 

3,248,578 

3,149,253 General Electric 

3,165,652 

3,233,127 " 

3,525,000 

3,261,993 United Aircraft 

3,450,906 

3,196,296 Electrokinetics, Inc. 

3,566,684 Mine Safety Appliance Co, 

3,090,703 Monsanto 

3,171,060 U.S. Gov't. 

3,614,489 No Assignee 



M 



M 



Includes those 1972 patents available to the examiner at the time this 
report was prepared. 



-101- 



WEAVING WITH STATIONARY SUPPLY OF WEFT YARN 



Technological Context 

One of the technological groupings concerned with weft manipulation 
was selected as being of interest because foreign nationals are obtaining 
76% of all U.S. patents in this grouping, a figure almost three times the 
average for all technologies. Moreover, the foreign share of this partic- 
ular technology, in terms of patents, is projected to exceed 90% in the 
next few years. The following profile of this technological grouping 
compares it with the average for all technologies. 



907, 
807. 

60% 
407. 

20? o 



90 + % 



76% 




207. 



m 



11.27. 



317 




AVG.% 
FOREIGN 



PROJECTED 
AVG- % 
FOREIGN 




&.5Z 



2-0% 



%u.s. 

OWNED OF 
FOREIGN 



AVG-% 

TOTAL 
GROWTH 



| ~|=THIS GROUPING 
ALL TECHNOLOGY 



-102- 



Area of Interest 

Within this grouping foreign activity was found to be concentrated 
in weaving with a stationary supply of weft yarn, a principal feature 
of "shuttleless" looms. This requires sophisticated apparatus for 
handling and controlling the weft yarn emanating from the supply (called 
a "package") . 

Shuttleless looms, hardly used at all as late as 1965 and now account- 
ing for over 2% of the looms used in the United States, have the advantage 
of being faster and more flexible than conventional broadlooms. Addition- 
ally, their weft supply package, being stationary, can be much larger, 
requiring fewer package changes and reducing manpower needs. 



Extent of Foreign Activity 

There has been a steady increase in foreign activity starting in 1963 and 
continuing through 1971. U.S. activity appears to have peaked in 1967- 
1969 and then dropped off somewhat. The pattern of U.S. and foreign 
activity is shown in the table below. 



Distribution of U.S. Patents in Area of Interest 

1963 64 65 66 67 68 69 70 71 Total 



Foreign 






















Switzerland 


2 


2 


1 


2 




5 


5 


9 


5 


31 


France 


1 


3 


4 


4 






3 


2 


2 


19 


Germany 


1 




1 


3 


5 


1 


3 


1 


1 


16 


Italy 






1 






4 




2 




7 


Spain 








4 


2 


2 


3 




3 


14 


Czechoslovakia 










3 


1 






2 


6 


United Kingdom 
















1 




1 


Japan 








1 




1 


1 




3 


6 


Netherlands 




5 


7 


14 


10 


1 
15 


1 
16 


15 


3 

19 


5 


Total Foreign 


4 


105 


U.S. 


1 


1 


5 


2 


6 


5 


8 


4 


4 


36 


Total 


5 


6 


12 


16 


16 


20 


24 


19 


23 


141 



-153- 

Thrust of Technological Activity 

Most foreign activity, in looms having stationary weft packages, deals 
with the handling and controlling of the yarn end. One hundred and 
forty-eight patents (listed in the Appendix and including patents 
issued in 1972) were selected as particularly relevant to this activity. 
Analysis of these patents reveals five distinct lines of development of 
yarn end handling and control devices. They are: 

— intermediate handling of the yarn end prior to its insertion 

into the warp 
— intermediate handling which includes measuring yarn 
— intermediate handling which includes selecting yarn from 

among a number of packages 
— handling the yarn end subsequent to its insertion into the 

warp 
— subsequent yarn end handling which includes selvage (fabric 

edge) forming 

Intermediate handling The primary problem in intermediate handling of the 
yarn is yarn tension. In order to produce a high quality product, yarn 
tension between the package and the inserting device must be maintained as 
nearly constant as possible. Excessive tension can create an uneven product 
or a yarn break which causes machine stoppage. Insufficient tension can 
cause a mispick (improper transfer of yarn between machine components) which 
would also result in stoppage. In this field foreign nationals have received 
66% of the patents since 1963 and 71% of those since 1969. 

Of particular interest are patents which show attempts to control the tension 
of the yarn while placing it in position to be picked jip by the inserting 
device. One of these shows a control having a clasp and cutter assembly for 
severing and gripping the yarn. Included are an axially movable shaft and 
a pivotal lever which position the weft in the path of the inserting member 
prior to each weft insertion. Another patent shows the weft yarn being 
stored between picks by means which include a tube through which pressur- 
ized fluid urges the yarn in a direction for storage. 

Intermediate handling with measuring Since 1969 foreign nationals have 
accounted for 87% of the patents for tension controlling devices which 
include means for drawing off measured lengths of yarn to be presented to 
the inserting member. This process tends to prevent shape deformation such 
as fuzzing. One patent, which discloses the formation of successive coils 
of weft yarn of a selected length, also shows drawing the weft from the 
supply package at a constant speed and delivering the coils to the weft 
inserting station. Another patent teaches measuring the yarn by drawing 
it off on a drum, the length being controlled by an intermittent motor drive. 

Intermediate handling with yarn selection With 71% of the patents since 
1969, foreign nationals also lead in the development of devices which 
feature yarn selection for weaving different colors and materials. One 
patent discloses an apparatus which has the capability of selecting any one 



-104- 



of six threads. Included are six yarn guides with clamps and a pivotally 
mounted carrying frame. Another patent shows selection between one of two 
yarns by a pattern controlled toggle which operates two cam follower rods 
to control the positioning of the weft. 



Yarn handling subsequent to its insertion into the warp . The thrust of 
development here deals with the free ends of the weft yarn after traversing 
the warp, but prior to the changing of the shed (the angle between mutually 
inclined warp threads wherein the weft is captured when the "shed is changed" 
i.e., when the inclination of the warp threads is reversed). During this 
very brief period the free weft yarn ends have a tendency to snap back into 
the open shed due to the tension of the weft yarn during insertion. When 
this occurs an imperfect fabric or "second" is produced. 

In order that the free end remains properly positioned it must be 
gripped adjacent the warp edge. One patent shows a weft retaining device 
which is movable into a weft retaining position by means on the shuttle and 
into a weft releasing position by a driven member. This patent also dis- 
closes a timed actuator for the gripping member. Another patent retains the 
yarn in cutting position during insertion by a guiding finger so that the 
yarn can subsequently be cut. 

It is interesting to note that in nearly ten years only one patent in 
this technology has issued (in 1968) to a U.S. national. 

Subsequent handling with selvage forming . 

Although U.S. inventors are more active (with 42% of patents since 
1969) in this area than in the others discussed above, foreign nationals 
still predominate. 

In this technology innovators are concerned with the released free weft 
ends which must be manipulated to produce a fabric edge which is both strong 
and free of protruding yarn ends. An approach to this problem which has 
received recent emphasis involves the tucking of these ends back into the 
warp. 

One patented device grips the free weft ends outside the warp edge. 
A needle member is then inserted through the edge of the warp into position 
to grip the held free end. The needle, drawn back through the warp edge, 
draws the free end back into the fabric. Another patent shows similar 
structure in which the gripping device is pattern controlled to position 
the free ends so that only the selected ends will be picked up. 



Technology analysis by 
Henry S. Jaudon, 
Patent Examiner 



-105- 



Appendix to "Weaving with Stationary Supply of Weft Yarn" 



Selected Patents 

Czechoslovakia 

3,335,761 

3,342,220 
3,347,283 
3,370,618 
3,565,121 
3,592,241 



Assignee 



Elitex Sdruzeri Podnidu Textilniho 

Strojirenstvi 
ii 



Elitex Zavody Textilhiho Strojirenstvi 



France 



3,116,762 
3,229,724 
3,282,303 
3,129,902 

3,439,715 
3,613,740 
3,137,321 
3,481,370 
3,494,384 
3,554,239 
3,587,662 
3,090,405 
3,115,902 
3,158,182 
3,181,568 
3,237,651 
3,241,576 
3,272,236 
3,457,967 
3,490,498 
3,602,266 



Brelic International Inc. 
ii 



Societe Alsacienne de Constructions 



Mecanique de Mulhouse 
ii 



Establissement Seydaux et Michau Reunis 

United Merchants & Mfg. Inc. 

Jean Amengual & Georges Lang 

Fatex 

Ateliers Diederichs 

No Assignee 



Germany 



3,092 
3,307 
3,237 
3,533 
3,626 
3,201 
3,263 
3,276 
3,347 
3,400 
3,443 
3,457 
3,459 
3,303 
3,315 



,150 
,593 
,656 
,451 
,991 
,956 
,705 
,482 
,282 
,738 
,602 
,966 
,238 
,857 
,707 



Raymond Dewas 



Georg Fischer, Ltd. 
ii 

Karl Liebrandt 

Rudolph H. Rossmann 

Jean Giisken, Maschinenfabrtk Eisengiesserei 

Lindauer Dornier Gesellschaft m.b.H. 

Samuel Moore & Co. 

Ruti Machinery Work, Ltd. 

Sulzer Bros. Ltd. 

VEB Webstuhlban Grossenhain 

No Assignee 



-106- 



Germany (cont'd) 
3,315,708 



No Assignee 



Italy 



3,380,482 
3,393,711 
3,396,754 
3,402,744 
3,225,446 

3,548,886 
3,669,328 
3,536,105 



Nuovo Pignone S.p.A. 
it 



Sobrevin Soc. De Brevets Industriels 

Establissement 
Inam Progetti S. p. A. 
Luigi Castelli 
No Assignee 



Japan 



3,229,725 
3,372,711 
3,482,606 
3,554,240 
3,556,162 
3,674,057 



No Assignee 
ti 

Nissan Jidoshu Kabushiki Kaisha 

Enshu Ltd. 
it 

Teijin, Ltd. 



Lichtenstein 

3,670,976 



Firma Sobrevin Soc. de Brevets Industriels 



Netherlands 

3,393,712 
3,465,939 
3,552,622 
3,580,444 
3,596,683 



N.V. Machinefabriek L. te'Strake 



Nissan Motor Co., Ltd, 



Spain 



3,273,603 
3,384,127 
3,269,426 
3,276,483 
3,286,738 
3,299,909 
3,340,903 
3,376,899 
3,422,861 
3,450,169 
3,455,340 
3,570,548 
3,587,661 
3,587,665 



Jose Llado Llado 
Magin Desneus Duran 
No Assignee 



Switzerland 

3,083,738 
3,111,144 
3,111,966 
3,131,729 
3,144,882 



Sulzer Bros 
ti 

ii 

it 

ii 



Ltd. 



-107- 



Switzerland (cont'd) 
3,276,484 
3,361,164 
3,411,547 
3,411,548 
3,425,462 
3,426,807 
3,455,341 
3,499,474 
3,526,254 
3,528,459 
3,575,217 
3,633,711 
3,250,298 
3,470,922 
3,530,902 
3,530,903 
3,542,085 
3,610,292 
3,610,295 
3,621,885 
3,678,967 
3,444,900 
3,532,135 
3,393,709 
3,517,704 
3,378,040 
3,680,600 



Sulzer 
ti 

it 

it 

it 

it 

it 

ii 

ti 

ii 



Georg Fischer Ltd. 
it 



Rutl Machinery Works Ltd. 
it 

Carolina Patent Development Trust 

Adolph Saurer, Ltd. 

No Assignee 
ii 



United Kingdom 
3,529,634 



Thomas French & Sons Ltd. 



U.S.S.R. 

3,685,551 



No Assignee 



United States 
3,409,053 
3,425,461 
3,431,951 
3,444,899 
3,467,148 
3,340,902 
3,393,710 
3,396,755 
3,194,276 
3,224,467 
3,330,304 
3,376,900 
3,460,584 
3,499,472 
3,413,883 
3,511,284 
3,563,280 
3,593,753 



Carolina Patent Development Trust 
it 



Crompton & Knowles Corp. 
it 

it 

it 

it 

ti 



North American Rockwell Corp, 
ii 



-108- 



United States (cont'd) 
3,604,472 
3,464,452 
3,477,476 
3,280,853 
3,323,556 
3,339,590 
3,369,572 
3,081,798 
3,153,430 
3,181,569 
3,190,316 
3,249,127 
3,308,855 
3,424,207 
3,528,460 
3,591,670 
3,613,741 
3,159,185 
3,348,582 



North American Rockwell Corp. 
Leesona Corp. 

M 

Draper Corp. 
ii 

John Riordan & Gertrude Libby 
ii 

Continentel Copper & Steel Industries Inc, 

The Warner & Swasey Co. 

Beacon Mfg. Co. 

Hanover Tool Co., Inc. 

Oscar V. Payne 

United Elastic Corp. 

Keystone Seneca Wire Cloth Co. 

Wendell Mills, Inc. 

Kimberley-Clark Corp. 

Boris Kroll Jacquard Looms, Inc. 

No Assignee 



Includes those 1972 patents available to the examiner at the time this 
report was prepared. 



-109- 



ELECTRONICALLY ACTUATED FUEL INJECTORS 



Technological Context 

The technological grouping dealing with fuel injection for internal 

combustion engines was selected as being of interest since foreign 

nationals are obtaining 61% of all the patents issuing in the grouping. 

This is far above the foreign share average for all technologies and 

is projected to rise to 75% in the next few years. The following profile 

of this technological grouping compares it with the average for all 

technologies. 



207. r 







Al/G-% 
FOREIGN 



PROJECTED 


°/o us. 


AVG-% 


AVG% 


OWNED OF 


TOTAL 


FOREIGN 


FOREIGN 


GROWTH 



| | = THIS GROUPING 
= ALL TECHN0L0OV 



-110- 



Area of Interest 

Fuel injectors inject a measured amount of fuel directly into the 
cylinder or into the intake manifold of an internal combustion engine. 
An advantage of fuel injection is that the fuel is distributed more 
accurately to the individual cylinders than with conventional carbu- 
retors. This reduces the amount of pollutants discharged with the 
exhaust and it is therefore easier to meet the federal emission stand- 
ards with a fuel injected engine than with an engine having a carbu- 
retor. 

Electronically actuated fuel injectors utilize a transistorized com- 
puter circuit which operates an electro-mechanical valve to inject the 
fuel. The amount of fuel injected may be dependent on several para- 
meters (such as engine speed, throttle opening and manifold pressure) 
which are fed into the computer. One of the primary advantages of 
electronic fuel injectors is that they can be produced at a more reason- 
able cost than the mechanical systems heretofore used. The mechanical 
systems used pumps for metering the fuel. These pumps had to be made 
to very close tolerances and were, therefore, expensive. 



Extent of Foreign Activity 

Electronically actuated fuel injection systems originated in the U.S. 
in the late fifties. However, others have dominated the area since 
then. The French and the Germans have been the most active, with the 
Japanese patent activity concentrated in the last few years. The pat- 
tern of U.S. and foreign activity is shown in the table below. 

Distribution of U.S. Patents in Area of Interest 



1963 



64 65 66 67 68 69 



70 



71 



Total 



Foreign 






















Germany 






1 




1 


1 


8 


5 


17 


33 


France 














4 


4 


2 


10 


United Kingdom 








2 








2 


1 


5 


Japan 


















4 


4 


Sweden 







1 


2 


1 


1 


12 


11 


1 
25 


1 


Total Foreign 





53 


U.S. 














1 





1 


4 


14 


20 


Total 








1 


2 


2 


1 


13 


15 


39 


73 



Thrust of Technological Activity 



Electronic fuel injection systems in which engine speed, throttle setting, 
manifold pressure and at least one other factor are used as parameters for 
controlling fuel flow were selected from the area of electronic fuel 



-Ill- 



injection because most activity appeared to be concentrated there. 
Forty-four patents (listed in the Appendix and including patents issued 
in 1972) were found to be particularly relevant to this line of devel- 
opment. The activity pattern of the selected patents is shown in the 
table below. 

Distribution of Selected U.S. Patents 





Pre- 
1968 


69 


70 


71 


72 


Foreign 

United Kingdom 

France 

Germany 

Japan 

Total Foreign 


2 
~2 


4 
2 

~6 


1 
1 


1 
1 
9 
1 
12 


2 
4 
1 
5 
12 


U.S. 
Total 



2 



6 


2 
4 


7 
19 


1 
13 



Of the foreign countries, Germany has been the most active with thirteen 
patents issuing to its residents. Several of these patents deal with 
coast down fuel cutoff to keep the mixture lean and therefore reduce the 
emission of pollutants during coasting. One of these patents discloses 
auxiliary circuits connected to block the output of a multivibrator 
timing circuit when the throttle is closed, engine temperature is normal 
and engine speed is above idle speed. A later coasting fuel cutoff 
patent improves the earlier development by blocking the trigger pulse 
input to, instead of the output from, the multivibrator as in the earlier 
patent. 

Later German developments have been directed to the use of additional 
parameters as inputs to the computer to get more accurate fuel flow for 
given conditions. For example, one patent discloses a pneumatic circuit 
to modulate the action of an intake manifold pressure sensor and a trans- 
ducer to indicate load on the engine. The purpose is to increase the 
signal input to the sensor during fast throttle opening to enrich the 
mixture for acceleration. A subsequent German patent discloses a circuit 
arrangement for delivery of fuel by two or more injections at low speed 
in combination with means to deliver two or more discharges of each 
spark plug. At high speed the plurality of injections and ignitions are 
reduced to a single injection and a single ignition for each working 
cycle of the engine. 

The French have also been very active and have received ten patents. 
One of these discloses a pulse generator based upon a bistable multi- 
vibrator which uses a circuit including a pair of transistors. When 
triggered by an incoming pulse of one polarity from a switching device 
on the crankshaft of the engine, it switches from one state (wherein one 



-112- 



transistor is on and the other off) to a second state and stays that way 
until reversed by another pulse of opposite polarity. In its second state 
a pulse is initiated to a magnetic injection valve. A timing circuit is 
associated with the multivibrator to determine the length of the pulse 
and thereby the amount of fuel injected. 

A subsequent French patent modifies the system described above in that 
the voltage to charge the capacitor of the timing circuit is derived from 
an oscillator which generates pulses at a frequency proportional to engine 
speed and of a length proportional to manifold pressure. A still later 
French patent provides a further modification in that the oscillator for 
charging the capacitor generates a linearly increasing voltage which 
reaches a predetermined voltage level, depending on the spacing between -a 
preceding pulse and a following pulse. 

Four of the French patents relate to circuit modifications to reduce 
current drain by recovering the electrical energy produced as one electro- 
magnetic injector valve closes, storing that energy, and then releasing 
the energy to aid the opening of another electro-magnetic injector valve. 

The Japanese have been quite active in the last two years. The six patents 
issued, however, are not directed to the development of any one basic 
system, but rather a variety of systems, examples of which are described 
below. 

One patent shows an inductive type of transducer for an electronic fuel 
injection system which senses throttle opening and intake manifold 
pressure. Compensation in the form of an evacuated capsule is built in 
to modify the response in proportion to pressure drop across the intake 
manifold air cleaner. Another Japanese patent discloses an improvement 
in transducers for providing a variable signal depending on the rate of 
throttle opening or closing as well as load as measured by manifold 
pressure. This is one means for providing a coasting fuel cutoff to 
decrease the pulse width and movement. 

There have been five patents issued to British nationals. One of these 
discloses a system having two pulse generators. One pulse generator 
delivers a fixed length pulse of minimum duration. The other delivers 
a pulse of variable duration depending on such engine parameters as intake 
manifold pressure, engine temperature, throttle position, rate of throttle 
opening and idle speed. Also taken into account are barometric pressure 
and ambient air temperature. Both pulse generators are triggered simul- 
taneously from the ignition distributor and the power of both pulses 
is additive in effect on the magnetic valves to provide prompt response. 

Only ten patents have issued to U.S. inventors. A reason for this 
may be that U.S. automakers generally consider the carburetor the most 
inexpensive solution and that it can be modified to meet the increasingly 
more rigid emission standards. One patent discloses a system with 
manifold pressure, engine speed, and engine block temperature as input 



-113- 



parameters. The system also features inputs from a trigger circuit 
operated by the starter for enriching the mixture upon starting and 
an unloader for completely cutting off the fuel during cranking (by 
shorting the trigger pulses) . Another patent shows a throttle movement 
sensor which, upon throttle opening, triggers the computer so as to de- 
liver additional pulses to the magnetic injection valves to give acceler- 
ation enrichment. 



Technology analysis by 
Laurence M. Goodridge, 
Patent Examiner 



-114- 



Appendix to " Electronically Actuated Fuel Injectors" 



Selected Patents 



Assignee 



France 



3,433,207 

3,456,628 
3,465,730 
3,465,731 
3,526,212 
3,565,048 
3,645,240 
3,651,343 
3,659,563 
3,665,901 



Societe des Procedes Modernes d' Injection 

Sopromi 
ii 

it 

n 

ii 

it 

it 

it 

it 

ii 



Germany 



3,463,130 
3,483,851 
3,515,104 
3,554,169 
3,566,847 
3,570,460 
3,595,692 
3,614,945 
3,623,460 
3,623,461 
3,648,155 
3,613,644 
3,626,910 



Robert Bosch, G. m b H. 
it 

ii 

it 

it 

ii 

it 

it 

ii 

ii 



Firaa Dr.-Ing. h.c.F Porsche K.G. 
ii 



Japan 

3,601,110 
3,651,791 
3,665,898 
3,670,706 
3,659,565 
3,682,144 

United Kingdom 

3,240,191 
3,272,187 
3,596,640 
3,661,126 
3,652,869 

United States 

3,610,219 
3,612,013 
3,612,020 



Nippondenso Kabushiki Kaisha 
it 



Hitachi, Ltd. 
ii 



Associated Engineering, Ltd. 
it 

Brico Engineering, Ltd. 
it 

Joseph Lucas (Industries) Ltd. 



General Motors Corp, 
ii 



-115- 



United States (cont'd) 
3,616,784 
3,623,459 
3,628,510 
3,500,803 
3,548,791 
3,612,010 
3,665,899 



General Motors 
n 



Gillette Tool Co., Inc. 
it 

ACF Industries, Inc. 
The Bendix Corp. 



Includes those 1972 patents available to the examiner at the time this 
report was prepared. 



-116- 



VEHICLES WITH VERTICALLY SWINGING HOISTS 



Technological Context 

The technological grouping dealing with self loading vehicles having 
a vertically swinging load support was selected as being of interest 
because foreign nationals are receiving 42% of all patents issuing 
in the grouping. This is above the foriegn share average for all tech- 
nologies and is projected to exceed 90% in the next few years. The 
following profile of this technological grouping compares it with the 
average for all technologies. 




AVG-7. 
FOEEIGN 



PROJECTED 
AV6.% 

FOREIGN! 



% U- 5 
OWNED OF 

FOREIGN 



AVG. % 
TOTAL 

GROWTH 



[~1=TH1S GROUPING 
=ALL TECHNOLOGY 



-11?- 



Area of Interest 

The self-loading vehicles found here all have vertically swinging hoists 
for handling heavy objects. Two distinct aspects were determined to be 
of interest. 

One aspect deals with the handling of logs. Grapples secured on the 
free end of a boom, lift the logs onto bunks which are on the vehicle. 
These bunks may support the logs completely or one end may be supported 
on the bunk with the other end being dragged along the ground. The 
grapples may also retain the logs during transport. An advantage of a 
self-loading logging vehicle is the elimination of the need for additional 
log handling equipment on separate vehicles in areas where space and 
mobility are limited. 

The other aspect deals with the handling of cargo containers. These 
containers are used primarily with flat bed trucks or tractor-trailer 
combinations. The primary advantage of this arrangement over external 
loading/unloading mechanisms is that a hoist is always present to 
handle the load. This is especially important in remote areas where 
loading and unloading equipment may not be available. 



Extent of Foreign Activity 

In grapple systems for handling logs, both Canadian and U.S. inventors 
have shown an increasing interest in the last two years. The pattern 
of U.S. and foreign activity is shown in the table below. 



Distribution of Selected U.S. Patents 

1963 64 65 66 67 68 69 70 71 Total 



Foreign 

Canada 

Sweden 


1 








1 
1 


1 
1 





2 
2 





3 
3 


6 

2 


Total Foreign 


1 


8 


U.S. 










1 

2 


1 





2 


1 
1 


2 
5 


4 


Total 


1 


12 



-118- 

In the loading of cargo containers, German inventors have shown an increasing 
interest since 1969, while U.S. activity has been limited. The pattern of 
U.S. and foreign activity is shown in the table below. 

Distribution of Selected U.S. Patents 

1963 64 65 66 67 68 69 70 71 Total 



Foreign 
France 
Germany 
Sweden 








1 
1 








2 
2 
4 


4 
4 


1 

4 10 

2 


Total Foreign' 


4 13 


U.S. 
Total 






1 
1 


1 
2 






1 
1 


2 
6 




4 


1 6 
5 19 


Thrust of Technological Activity 
















Grapple Systems Handling Logs 


. 


Early 


patents to 


Canadians 


showed that the 



same vehicle that was used for tree felling and processing also could be 
used for loading and transporting the felled trees. Vertically swinging 
booms with grapples, mounted on rotatable bases were used to grasp the trees 
or logs and place them on bunks located on the vehicle bed. Also patented 
were improvements in the mounting of the grapple to the free end of the boom 
so as to make the grapple universally mounted and more suitable for different 
loading situations. Later patents to Canadians include making the operator's 
cab rotatable, as well as providing plural sets of controls. These features 
enable a single cab to be used by an operator for driving the vehicle and for 
loading or unloading the vehicle. 

Swedish origin patents have improved the boom by making it both rotatable 
and shif table in a manner so as to increase its load handling, operating 
range and capacity. 

The Canadian and Swedish owned patents disclose attempts to derive the 
maximum utility from a single logging vehicle by including the log handling 
features on a vehicle already having the tree processing apparatus. 

U.S. activity in this area has been more limited with only 4 patents from 
1963-1972. One of these discloses a bunk having a pair of arms for securing 
an end of a log. The bunk is articulated and pivotally mounted about two 
axes of movement for ease in loading and dragging logs. Another U.S. 
patent discloses a lifting boom having a shear head assembly with tongs 
for grasping the log during the shearing operation and for holding the 
tree while it is swung into a skidding position where the lower end of the 
tree is placed for support on a bunk assembly. 



-119- 



Loading of Cargo Containers . An early device specifically designed for 
cargo containers was patented by a U.S. inventor in 1965. This device 
employed a pair of swingable, longitudinally -spaced booms mounted on the 
load bed of the vehicle, with a container suspended from the free ends 
of the booms by a bridle or cable arrangement. Integral with the swing- 
ing booms were stabilizing feet which served to stabilize the vehicle 
when the cargo container was moved laterally of the vehicle load bed. 

Two patents (one of which is of French origin) have issued subsequently 
which teach loading the containers in a longitudinal direction onto the 
rear end of the vehicle. Although they utilize features in common with 
the other patents in the area, most of the prior activity had been in 
the lateral or side loading devices because of the length of the containers. 

A series of subsequent patents (two of which are of German origin) were 
directed toward an integral arrangement of the swinging boom and the 
vehicle stabilizer. They all employ a power cylinder connected directly 
between the boom and the stabilizer for swinging the boom. It is indicated 
that these devices permit greater load handling capability since the weight 
of the load is transmitted directly to the ground. 

The ability to handle different sizes and types of containers is a major 
problem in this area. As noted above, the containers were, at first, 
suspended by a bridle, or strap arrangement from the free ends of the 
booms. Various types of rigid lifting frames, pivotably connected or 
suspended between the free ends of the booms, have been patented (mostly 
by Germans) . The frames accommodate containers with engaging means at the 
top or the side, or even containers without any engaging means which must 
be lifted by fingers or supports which engage the bottom of the cargo 
container. Details of coupling pins and container engaging brackets for 
engaging mating couplers of the containers also have been patented. 

Other patented improvements, intended to make use of the entire capacity 
of the vehicle, disclose loading a plurality of containers onto a single 
load bed. These include the use of either plural, adjustably mounted 
booms, or a single, centrally located boom combined with cooperating 
fore and aft booms. 



Technology analysis by 
Robert J. Spar, 
Patent Examiner 



-120- 



Appendix to "Vehicles with Vertically Swinging Hoists' 



Loading of Cargo Containers 
SeJ.ect.ecL P at en£s Assignee 

France 



Germany 



Sweden 



3,239,080 



3,513,997 
3,456,820 
3,458.066 
3,495,726 
3,515,295 
3,523,620 
3,557,980 
3,606,044 
3,612,308 
3,616,949 



3,484,003 
3,485,392 



United States 

3,448,874 
3,602,375 
3,174,630 
3,249,235 
3,451,568 
3,404,793 



Bennes Marrel 



Coles Krane G.m.b.H. 

No Assignee 
ii 



Hiab-Foco Aktiebolag Hudiksvall 
Aktiebolaget Parator 



Koehring Co. 
ti 

Fruehauf Corp. 

Ames Shovel & Tool Co. 

Golay & Co. Inc. 

No Assignee 



Grapple Systems for Handling Logs 
Selected Patents Assignee 



Canada 



Sweden 



3,351,107 



3,586,078 
3,601,169 
3,630,246 
3,658,104 
3,102,562 
3,227,295 



3,421,791 
3,445,014 



Canadian International Paper Co. , 
Quebec North Shore Paper Co. , 
Abitibi St. Anne Paper Ltd. 



Ontario Paper Co. Ltd. 
No Assignee 



Hiab-Foco Aktiebolag 



-121- 



United States 

3,627,351 Deere and Co, 

3,263,834 No Assignee 

3,549,029 
3,556,319 



Includes those 1972 patents available to the examiner at the time 
this report was prepared. 






-123- 



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